Compliance Executive- Broking

• Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable, circulars/Notifications with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.

. Do settlement of client balances (Fund/Securities) and having brief knowledge of the same.

. Preparation of documentation of AP registration / cancellation and having brief knowledge of AP related compliances.

. Providing NEAT / CTCL terminal and maintain of MIS for the same.

• Submission of Weekly / Monthly / Quarterly / half yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.

• To Co-coordinate with the exchange(s), clients and departments for any compliance related issues.

• Maintain Recording data of clients transaction.

• Preparation of various applications / documentation as per exchange rules & regulation.

. Prepare and maintain MIS.