Compliance Officer - Stock Broking

Compliance Officer

Roles and Responsibilities :

- Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities.

- Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis.

- Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by CDSL.

- Assisting various internal stake holder for implementation of various circular issued by regulator or stock exchanges and depository.

- Well versed with process of on-boarding of clients at trading member

- Shall ensure trading terminals related regulation at exchanges

- Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges and Depository.

- Shall be able to understand legal agreements

- Shall require sending Information and important Communication to all internal and external stake holder.

- Monitoring compliance of KYC and AML & PMLA guidelines followed in opening of account by operations team and also Heading KYC.

- Ensuring proper analysis of alerts received from CDSL and exchanges and closing the same with proper justification.

- Ensuring analysis of internal alerts closing them with proper justification

- Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges

- Follow-ups with the exchanges to obtain the necessary approvals

- Well versed with handling all types of compliance issue (Monthly, Quarterly, Half Year and Yearly) and Exchange Inspection.

- Keep up-to date with new Exchanges/SEBI circulars and implement the same

- Listing Compliances with Stock Exchanges as per the Listing Agreement and SEBI (LODR) Regulations. Listing of new Shares and dealing with Takeover code & insider trading compliances

- Filing of All Return, disclosures, Declarations, forms, etc. within the time prescribed by Law. Check Regular compliances being done accurately - Enhanced supervision, Margin Reporting, Exchanges reporting.

- Handle internal audit, exchange Inspection, Exchanges Approvals

- Handle client complaints

Experience - Overall 10+ years of experience in Compliance (Stock Broking)