Compliance Executive-Broking-E

Key Responsibilities

• Regulatory Compliance & Monitoring: Disseminate circulars and notifications issued by regulators/exchanges to relevant departments daily. Track actionable points and monitor adherence and implementation status.
• MIS & Documentation: Prepare and maintain MIS for regulatory circulars, client settlements, AP registration/cancellation, NEAT/CTCL terminal allocation, and compliance-related data.
• Client Settlement: Handle client fund and securities settlement processes and ensure accurate recordkeeping in compliance with SEBI and exchange norms.
• Authorized Person (AP) Documentation: Prepare and manage documentation for AP registration, cancellation, and related compliance formalities.
• Terminal Management: Allocate NEAT/CTCL terminals to users and maintain updated records and MIS for the same.
• Regulatory Filings: Prepare and submit periodic (weekly, monthly, quarterly, half-yearly, and annual) reports and returns to exchanges within defined timelines.
• Liaison & Coordination: Coordinate with exchanges, internal departments, and clients to resolve compliance-related queries or observations.
• Record Maintenance: Maintain accurate records of client transactions, compliance submissions, and internal approvals as per exchange and SEBI requirements.
• Application & Documentation: Prepare necessary applications and supporting documentation as per exchange rules and circulars.