HR Recruiter at Thema Corporate Services
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Assistant Manager/Deputy Manager - Membership Compliance - CS - BFSI (1-6 yrs)
Key Responsibilities :
1. Portfolio I: New membership and Additional Segment Registration (NSEIL & NSCCL)
- Facilitate conducting of Membership Recommendation Committee (MRC) and Membership Selection Committee (MSC) meeting.
- Prepare offer letters and demand advice to be sent to the MSC approved members.
- Send the application to SEBI for registration of the member after detailed due diligence and compliance checks as per the internal policies.
- Approvals for membership in additional segment for the existing members of NSEIL and NSCCL
2. Portfolio II: Sub-broker related activities
- Process application pertaining to registration, cancellation, change in affiliation, change in address, change in status and change in constitution of sub-brokers.
- Reconcile the records with SEBI for sub-broker renewal fees.
- Uploading the details on SEBI portal and updation of membership database w.r.t. sub-broker details.
- Facilitate conducting of Sub-broker Recommendation Committee (SRC) meeting.
3. Portfolio III: Surrender of membership /Voluntary Disablement /Re-enablement related activities
- Process applications pertaining to total surrender /Segmental Surrender/ Voluntary Disablement and re-enablement of Membership.
- Send the application to SEBI for surrender of membership after due diligence and compliance checks as per the internal policies.
- Issue of Public Notification and refund/blocking deposits of the member and release of the deposits after the lock-in period.
- Updation of membership database for change in status, details of surrender of membership and FDR details.
4. Portfolio IV: Continuing membership related activities
- Grant NOC/ Prior approval/Fee Clearance for Change in Name/ Transfer of Membership / Upgradation/Merger or Amalgamation/Change in shareholding or Directors of the member after due diligence and compliance checks as per the internal policies and SEBI Rules & Regulations..
- Enable the member on the Exchange in the new name/code/status.
- Updation of membership database for change in status, details of transfer of membership and shareholding/director details.
5. Portfolio V: Other compliance activities
- Monitor and Implement Orders passed against the members by SEBI / SAT etc.
- Scrutinize the Advertisements to be issued by the members to ensure compliance with all regulatory norms.
- Monitor Networth of the Members and initiate action in case of non compliance
- Daily and Monthly Sign-off for Margin Trading and Client Funding activity respectively
- Issue Status Report and Membership Certificate based on Member request
- Process Members request for trade through other members
Need a CS candidate having 1 - 6 years of experience into compliance.
Location : Ahmadabad (Gift City)
Salary offered: 9 - 15 LPA
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