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24/01 Hardik Dave
Manager at Equirus

Views:31 Applications:6 Rec. Actions:Recruiter Actions:1

Equirus - Company Secretary & Compliance Role (1-3 yrs)

Ahmedabad Job Code: 1211038

CS & Compliance @ Equirus Wealth


- 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.

Women-friendly workplace:

Maternity and Paternity Benefits

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