Head - Institutional Broking Compliance

Broking Compliance

1. Good Understanding of the capital market rules and regulations, circulars etc.

2. Assisting the Head -Compliance and Legal in the Capital Market compliance and Advisory mandates.

3. Handle all Compliance for Institutional broking (FPI).

4. Managing Inspection and Internal audit related to compliance.

5. Assisting to internal auditors for conducting internal audits of all exchanges on a regular and on a periodical basis.

6. Preparation, submission, and uploading Annual return & Annual Compliance to the exchanges.

7. Implementation of exchange and SEBI KYC requirements, modification in the formats.

8. Handle Queries related to Trading and Account opening

9. Manage surveillance & Investigations related to exchange