Compliance Officer - Stock Broking & Exchange (3-10 yrs)
- Good understanding of the capital market rules and regulations, circulars etc.
- Managing Inspection and Internal audit related to compliance.
- Assisting to internal auditors for conducting internal audits of all exchanges on a regular and on a Periodical Basis.
- Preparation, submission, and uploading Annual return & Annual Compliance to the exchanges.
- Implementation of exchange and SEBI KYC requirements, modification in the formats
- Handle Queries related to Trading and Account opening
- Manage surveillance related to Exchanges
- Manage Investigations related to Exchanges
- Providing MIS and presentation to management on monthly basis
SKILLS & KNOWLEDGE:
- Min of 3 years experience of core compliance in stock broking & Exchange
- Task & detail oriented
- Proficiency in Excel and presentations
- Good Communication skills (spoken & written)
- Well organized for preparing various MIS and follow up