Compliance Professional
Compliance Professional
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Job Description
Job description
Primary Role:
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Periodic reporting as a SEBI registered Stock Broker and Depository Participant and tracking of amendments: Regulating Authorities: SEBI CDSL NSDL NSE BSE ICCL
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Periodic reporting as a PFRDA registered Point of Person for NPS and tracking of amendments: Regulating Authority: PFRDA
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To coordinate with the finance operations and IT department for obtaining relevant information and details for preparation of the certificates and reports to be submitted with the various regulators/SRO/MIIs.
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Dealing and coordinate with the Internal Auditors/ External Auditors
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Ensure timely intimation to the regulators with respect to incidental compliance i.e. updation of DP service centers updation of branches Change in Name Shareholding Principal Officer Compliance Officer etc. of the Companies registered with the regulators/SROs/MIIs.
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Ensuring updation of various forms applicable for onboarding of clients for trading and demat account opening and allied services.
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Ensure entry storage updation of the NJ Compliance Module in the system.
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To keep storage and custody of License and Registration Certificates issued by the regulators.
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FATCA and CRS reporting and coordination with Consultant.
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To ensure provisions of PMLA and Surveillance related laws are duly complied.
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Ensure efficient functioning of team and assist team members to achieve optimum performance levels.
Secondary Role
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Helping superior in preparing the MIS reports as and when required.
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Helping superior for any incidental task.
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Team Handling
Required candidature:
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Strong knowledge of SEBI regulations and compliance frameworks
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Prior experience in broking or securities firm operations specifically in Depository or Exchange Compliance
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Deep understanding of compliance workflows operational risk and capital market processes
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Preferred qualification: Company Secretary (CS)
Location: Surat
Employment Type
Full Time
