Manager - Compliance - BFS

Company Profile:

First Global is India's most innovative, forward-thinking, tech- driven securities firm. Blazing a trail of creative thinking, seeing trends ahead of the crowd, identifying major inflection points in countries, regions companies, sectors and asset classes, First Global stands apart from the rest.

First Global has been in the Investment, Research and Advice business for 30 years, and with presence in Global Markets, for over 20 years. Until recently, we used our Global Asset Allocation capabilities to assist large global institutional clients, who manage trillions of dollars, to invest globally.

Now, due to popular demand, we have opened these capabilities to help individuals HNIs and Family Offices, get the same expertise that large multi-billion funds get and therefore, have launched our own Investment Products like the PMS, AIF, Global Offshore Funds etc.

First Global has always been a thought leader and trail blazer known for its innovative
and well-analyzed takes on both macroeconomics and the financial markets.

Our culture :

Our culture is a hard-driving, aggressive, number-driven culture.

We are an organisation driven to compete aggressively every day in the world.

Our people need to work hard. And work smart.

And have fun doing it!

Are you ready for the ride?

For further details kindly go through the company's website:- www.firstglobalsec.com First Global is regulated by Financial Conduct Authority (FCA) in UK. First Global is a composite member of Bombay Stock Exchange Ltd. (BSE) and National Stock Exchange of India Ltd. (NSE). First Global is also registered with SEBI as Category I Merchant Banker, Portfolio Manager and Research Entity. First Global is regulated by Securities and Exchange Board of India (SEBI) in India.

What you will be doing:

Should have worked and supervised on the following processes.

1. Well versed with the exchange and SEBI compliances with regard to PMS, AIF, AMC, Retail broking.

2. Handling independently various Exchange Inspections, Independently SEBI Inspections, and System Audits & SEBI Internal Audit.

3. Handling Independently DP Audit.

4. Solving all types of customer and branch queries relating to Account Opening, Settlements, Trading, Billing, brokerage structures and changes, etc.

5. Independently handling all Compliances related to DP & Exchanges.

6. All Grievance Solving, Maintenance of all type of Registers online or offline,

7. Timely submission of all reports

8. Supervising of Client detail about SEBI, all intranet and mail received and reply related work etc.

9. C KYC Process and upload of Documentation of clients.

10. Uploaded Enhanced Supervision (half yearly)

11. Details Of Client Assets in NSE BSE MCX ICEX (Weekly/ Monthly)

12. Standard Holding Report uploaded in NSE BSE.

13. Dividend Processing of Client.

14. Handling entire trading account KYC Process and CVL-KRA /NDML KRA AND DOTEX KRA Documentation of clients.

15. Online IPO BID AND BUYBACK offer BID in NSE BSE

16. Downloading of all the required files from the BOLT and FTP for daily process.

17. Supervising the process of Printing of Contract Notes and Bills & sending client email through endorser.

18. Organizing for settlement obligation for NSE and BSE Cash Segment and F&O segment.

19. Functioning of Broking & Depository's Account Opening section, Scrutiny and authentication of forms.

20. All type of account opening online or offline, all type of KYC, CKYC

21. Account Modification, DIS, Demat, Remat, Pledge, Unpledge, Freeze, Unfreeze, Pay in - Pay out,

22. AP Registration,

23. Supervising Preparation of DEMAT instructions for Settlement & Client Transfer,

24. Operating Of 'LD Software', Taking daily backup of front & back office,

25. Entire Trade process of segment of BSE CASH,BSE Currency, NSE CASH,NSE CURRENCY & NSE F&O ,MCX ,ICEX,

26. Handling of All the Demat Transaction in pay-in & pay-out to national stock exchange (NSE) & Bombay stock exchange (BSE)

27. Solving the queries of clients in completing the documentation process for opening of demat account.

28. Entire Bill process of cash segment of BSE, NSE & NSE F&O

29. Early Pay-In of Shares.

30. Installation of New backoffice Softwares

What you should have done so far

In depth knowledge, hands on experience of the above functions and at least 7-8 year experience in the current position, in supervisory capacity.

Job Title: Manager Compliance & Operations

Location: Vashi , Navi Mumbai (Work from Home currently)

Reporting to: Director