Compliance Officer

Job Description

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Officer- Broking . Location : Ahmedabad Job Description - 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. Interested candidates can share their updated resume on recruitment1@prudentcorporate.com