Incumbent to possess the following competencies:
- Good Understanding of the Broking Regulations
- Knowledge of capital market rules and regulations
- Understanding of the FPI / FDI regulations
- Knowledge of the PMLA / AML regulations
- Should be a self-starter-, willing to work in a start-up environment
- Excellent articulation and communication skill
- Knowledge of secretarial activities
Key Responsibilities:
- Handle all Compliance for retail broking & ensure that there is no regulatory non compliance / observation made during inspection.
- Tracking all circulars / regulatory requirement and communicating the same to relevant teams with actionables.
- Handling all regulatory inspections and audits
- Manage and Independently handle all stock broking related routine compliances
- Independently handle Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) filing
- Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy
- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI
- Ensure that compliances related to SEBI, BSE/NSE, MCA are followed
- Handling of ROC compliances
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