Compliance Analyst - Stock Broking

Below is a brief overview of the role:

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

- Implement an effective compliance framework for 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