Compliance Associate - Broking

As a Compliance Assistant at A.C. Agarwal Share Brokers, you will be playing a crucial role in supporting the compliance and regulatory functions within the organization. Your attention to detail and proactive approach will be pivotal in monitoring and ensuring adherence to internal policies and regulatory standards. Your responsibilities will include preparing reports, conducting audits, and maintaining accurate documentation to uphold the firm's compliance with financial and regulatory guidelines. Key Responsibilities: - Assist in monitoring and ensuring compliance with relevant regulatory standards, including SEBI, RBI, and internal company policies. - Support the execution and management of fund allocation processes at the beginning of the day (BOD) and end of day (EOD). - Prepare and analyze short allocation reports, such as SA04 and Intrasar Eodsar, ensuring data accuracy and timely reporting. - Support segregation reporting activities to ensure compliance with regulatory requirements and internal policies. - Conduct margin shortage checks for the Front Office (FO) at BOD and EOD to minimize client risk. - Facilitate communication between internal teams and external stakeholders for efficient fund management and compliance-related matters. - Assist in ensuring the smooth movement of funds from Allocation FO to MCX while maintaining compliance and process efficiency. - Help with checks and monitoring related to Margin Trading Facility (MTF) Joint Ventures and shortage management. - Validate EOD margin reports to ensure compliance and accuracy as per internal policies and regulatory requirements. Qualifications: - Bachelors degree in Finance, Accounting, or a related field. - Strong analytical skills and a keen eye for detail. - Familiarity with financial software and reporting tools. - Strong communication and interpersonal skills. - Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint). - Ability to manage multiple tasks and meet deadlines in a fast-paced environment.,