Assistant Compliance Officer

Job Description

Role & responsibilities Regularly update and maintain depositary forms in line with company procedures and regulatory requirements. Ensure accuracy in the update of investor and transaction details in depositary records. Compile and update investor complaint data on the companys website on a monthly basis. Ensure compliance with regulatory requirements related to investor complaints and provide updates as needed. Reconcile and verify pledge holding reports, ensuring the correct data is reflected and reported. Address any discrepancies identified during reconciliation and work with relevant teams for resolution. Oversee and execute the daily and monthly transfer of balances from CDSL to CAPEX systems. Ensure the transfer process is completed accurately and timely in compliance with internal protocols. Conduct a daily review of the firms net worth, ensuring that the necessary data is up-to-date. Report discrepancies or unusual findings to senior management for further investigation. Regularly monitor and check for shortages in the SA04 files. Run the necessary checks in N-Mass to resolve discrepancies, ensuring that files are complete and accurate. Execute and manage script master functions to ensure compliance with data processes and internal systems. Resolve any errors encountered during script execution to ensure smooth operation. Assist in generating and maintaining MIS reports, providing insights into the daily, weekly, and monthly compliance activities. Ensure reports are accurate and delivered in a timely manner to stakeholders. Monitor and manage margin and transaction shortfalls for the MCX. Regularly run checks on the MCX portal to ensure shortages are reconciled and rectified promptly. Reconcile margin accounts and ensure proper alignment with the Pro file data. Identify discrepancies and assist in ensuring proper match and adjustments are made to resolve any margin-related issues.