Compliance Executive

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 personscompliance 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