Compliance Executive

Roles and Responsibilities

· Liasioning with the Exchanges

· Managing Inspections carried out by exchanges , depositories and SEBI

· Managing internal audits related to depositories and Exchanges

· Submission of Enhanced supervision data

· Periodic filings to Exchanges

· Seeking regulatory approvals for advertisements etc

· KYC Compliances and monitoring

· Preparation , submission , and uploading Annual return Compliance to the exchanges.

· Handling investors complaints

· Controls testing , preparing policies , procedures for compliance

· Evaluating new regulatory guidelines and implementation

· Handling internal audits and implementation

· Preparation and submission of MIS and status reports

· Reviewing updating company forms and internal documents in line with applicable stock broking / DP guidelines

· Authorised Person registration process with Exchanges, coordination with AP’s for all further updates and AP compliances.

· Liasioning with Company Secretary for all secretarial filings with respect to secretarial changes in the company details.

Desired Candidate Profile

1. Should have experience in handling compliances and liasoning with regulators and SEBI
2. Effective verbal and written communication skills3. Adept to work in a fast-paced business environment and deliver within tight deadlines4. Attitude to learn and grow

5. Computer knowledge in Microsoft Office and internet usages

Job Type: Full-time

Pay: ₹15,000.00 - ₹20,000.00 per month