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Compliance Executive


Designation: Compliance Executive

Location: Registered Office, Ahmedabad

Qualification: Graduation

Skill Set:

• Knowledge of Stock Broking Industry would be advantage

• Good verbal & written communication skill

• Good Team member

Experience: 0-2 Years

Job Description:

• Report filling with Exchanges

• Co-ordination with Internal Auditor, Inspection Team, Exchanges

• Communication with Exchanges for queries, report, etc…

• Reviewing Transactions Alerts generated from Internal backoffice, Recording it and its disposal

• Maintenance of data and records

• Monitoring Exchange circulars and to ensure compliance thereof

• Monitoring Exchange PMLA surveillance alerts and dealing with them accordance with instructions including filing STR

• Collating data for submission of reply to Exchanges/Regulator for inspection findings and other show cause notices or penalty proceedings

• Assist Compliance Head in meeting various regulatory compliances required by SEBI, FMC, Exchanges, and Depository on routine basis and instance based.

• Assisting head legal in various compliance related activities including preparation of registration application with regulators, following up with regulators

As may be prevalent in market for similar profile.

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