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