Urgent opening for CS & compliance - Broking compliance @ Equirus Job description : - Ensuring compliance of SEBI (Stockbrokers) Regulations, 1992 and all other applicable circulars, notifications issued by SEBI, NSE, BSE, CDSL time to time. - Timely filing of various details with SEBI, NSE, BSE, CDSL, ROC and other regulators. - Updation & Implementation of various policies like AML policy, RMS policy, Conflict of Interest policy, policy regarding circulation of unauthenticated news etc. - Onboarding of broking/DP clients with due diligence and to comply with the KYC norms. - Co-ordination with institutional clients w.r.t empanelment and review of empanelment on half yearly/yearly basis. - Implementation of all the compliance w.r.t KYC and other regulatory filings with various authorities. - Implementation of compliance w.r.t SEBI (Research Analysts) Regulations, 2014, SEBI (Depositories and Participants) Regulations, 2018 SEBI (Prohibition of Insider Trading) Regulations, 2015. - Preparation and maintenance of secretarial documents like notice, agenda, minutes, registers etc. - Drafting, Vetting, negotiating & executing various commercial/ business contracts and agreements - Handling NSE/BSE/CDSL inspections. Requirement Specification : - Graduate + CA / CS / MBA, or any other equivalent qualification - Must have Broking Compliance experience - Minimum 4-5 years of work experience with Stock Broking & DP entity - NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program

Ahmedabad

Gujarat

Equirus - Company Secretary - Broking Compliance 

Equirus - Company Secretary - Broking Compliance  ,Job Description for Equirus - Company Secretary - Broking Compliance  in Equirus in  Ahmedabad Gujarat for (5-8) years of experience. Apply Now!

Job Description for Equirus - Company Secretary - Broking Compliance  in Equirus in  Ahmedabad Gujarat for (5-8) years of experience. Apply Now!