Compliance Executive

LATIN MANHARLAL
Mumbai - Mumbai
20,000 - 25,000
/ monthly
Requirements
2 - 3 years experience
Graduate
Above 18 years
No gender preference
Shift timings
Working days
5 days/week
Morning Shift
9:30am - 6:30pm

Job description

Handling all statutory compliances of  Trading Member with  all exchanges 

1.  Member Activation &  surrender procedure 

2. Updating & getting approval of change in Trading Member details Like :

  • Change in Shareholding Pattern
  • Change in Director’s & their details
  • Change in member Contact details
  • Change in compliance officer details etc…. 

3. Submission of Annual returns

4. Submission of  Quarterly compliance certificate

5. Submission of Yearly / Half yearly net worth Certificate

6. Submission of internal Audit report , RBS submissions Etc……

7. Co-ordinating in SEBI /Exchange inspections personscompliance requirements related to Authorised & Sub-brokers (LMSPL+AASPL+MCX+NCDEX)

  • . Preparation of initial documents of new intermediary / Franchisees to get them registered with Trading Member.
  • . SEBI/Exchange Registration, Cancellation & Affiliation Documents of the sub-broker/Authorised Person’s.
  • . Maintaining database of all Authorised Persons/Sub-brokers/Branches documents
  • . Handling APs / Sub-broker/Branches queries related to compliance department.
  • . Resolving the exchange queries for all statutory compliance related issues.

8. Enrolling all users at NISM / NCFM / My MCX portal to get all mandatory certifications. I.e. Equity derivative Certification, SORM certification, Research Analyst, MCCP and NCFE etc...

9. Keeping records, files & database related to compliance department

Additional Requirements
Language
English
Experience
Other,
Banking / Financial Services / Insurance
Job Type
Full Time
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Posted on 20 Dec 2018
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