Compliance.

Job Description:

Position : Compliance Department
Min. Exp. 3 Max.Exp. 5
Location Malad, Mumbai
Industry Type Broking

Monday to Friday: 8:00 AM to 5:00 PM
Saturday: 10:00 AM to 5:00 PM
Weekly Off: 2nd and 4th Saturdays and all Sundays

JD

➢ Handling regulatory compliance of BSE, NSE and SEBI regulations for Co. Securities Limited and Co. Commotrade Limited.
➢ Submission of Internal audit and Concurrent ➢ , and advise the company regarding compliance audit report to CDSL.
➢ Updating of Dealers NISM certificate before expiry in All Exchanges.
➢ Gathering and analyzing data, performing computations, and preparing work Researched, interpreted with laws and regulations.
➢ Handling Inspection of SEBI, Exchanges, and Depositories and drafting compliance report.
➢ Registration and cancellation of Authorized person in NSE, BSE and MCX and providing letters for approval of registration and cancellation of Authorized person once registered or cancel with exchange.
➢ Provide data to exchange as and when required.
➢ Maintained and reviewed all contracts and agreements to ensure all policies and procedures were fully followed. Review of various policies of the organization
➢ Organize and facilitate monthly, Quarterly, Yearly compliance review board meeting, attended by Chief Executive Officer, Chief Financial Officer, and executive of company.
➢ Directly reported to the Chief Executive officer to ensure company objective are meet and executed goals.
➢ Co ordinating and follow up with exchange regarding quires.
➢ Ensure regulatory compliance with Companies Act, 2013 for Co. Securities Limited and Co. Commotrade Limited.
➢ Taking vendor approval from Exchanges.
➢ Submission or registration of any other membership related activities.
➢ Replies to Letter of observation and Drafting compliance report of Concurrent audit report.
➢ Closing alerts of Exchanges as well as CDSL.
➢ Daily Sending and implementing circulars of SEBI, Exchanges, Depositories.
➢ Making representation to Regulators.
➢ Making submissions of various regulatory reporting to Regulators.
➢ Handling Inspection/Internal Audits/System Audit/Cyber audit.
➢ Research regulations related compliance.
➢ Handling Sebi/Exchange investigations.
➢ Replying to Surveillance related mails from Regulators
➢ Reply to Observation letters/show cause notices
➢ Handling Stock Exchanges compliance. Drafting Appeals.

Compliances related to AMFI Replied to complaints and attained IGRP Compliances of Investment Adviser Registration of SEBI as an Investment Adviser Compliances pertaining to TRAI


Skills

• Strong understanding of financial regulations and compliance requirements.
• Excellent analytical and problem-solving skills. Effective communication and interpersonal skills.
• Attention to detail and ability to work independently.
• Proficient in using compliance management software and tools.