Compliance Analyst - Broking

- Implement and execute all day to day broking compliances with respect to reporting and submissions.

- Implement an effective compliance framework for MP broking operations.

- Monitor the compliance of the rules, regulations, notifications, guidelines, instructions issued by regulators and exchanges.

- Create sound internal controls and monitor adherence to them.

Must Haves :

- Detailed understanding of the SEBI compliances, rules and regulations.

- Detailed understanding of exchange compliances, bylaws, regulations.

- Maintain Code of Conduct at all times.

- Ensure compliance with existing and new regulations at all times.

- Timely review of exchange notifications & guidelines.

- Should be able to handle regulatory audit related queries.

- Minimum 2 years of experience in Broking Compliance