Job Responsibilities: Manage financial reporting, audits, and compliance with accounting standards. Handle taxation, including direct and indirect taxes, GST, and income tax filings. Oversee budgeting, financial planning, and cost analysis. Ensure regulatory compliance with tax laws and corporate finance policies. Manage accounts payable, receivable, and reconciliation activities. Provide strategic financial advice to management. Broking Industry Working Experience
Job Summary: The executive will be responsible for ensuring our operations adhere to exchange regulations and internal compliance standards. The ideal candidate will possess in-depth knowledge of exchange-related work, demonstrate proficiency in MS Excel, and be skilled in drafting correspondence with regulatory authorities. Key Responsibilities: Regulatory Compliance: Monitor and ensure compliance with relevant exchange regulations, laws, and internal policies. Assist/conduct regular compliance audits and risk assessments. Exchange-related Work: Handle tasks related to exchange requirements including reporting, documentation, and liaising with exchange authorities to ensure adherence to regulatory guidelines. MS Excel Proficiency: Utilize MS Excel for data analysis, reporting, and maintaining accurate compliance records. Drafting and Correspondence: Prepare and draft replies to regulatory inquiries, reports, and other correspondence. Ensure all communications are clear, accurate, and timely. Internal Coordination: Collaborate with various departments to ensure compliance across all areas of the business. Provide guidance and training on compliance-related matters. Issue Resolution: Identify, investigate, and resolve compliance issues and discrepancies. Implement corrective actions and preventive measures as necessary. Record Keeping: Maintain comprehensive records of compliance activities, audits, and correspondence. Ensure documentation is up-to-date and easily accessible. Qualifications: Education: CS/LLB/Semi Qualified CS/MBA Experience: Minimum of 2 years of experience within the financial services or stock broking industry. Candidate should be familiar with financial services or stock broking industry. Skills: o Proficiency in MS Excel, including advanced functions such as VLOOKUP,pivot tables. o Strong written and verbal communication skills for drafting correspondence and interacting with regulatory bodies. o Excellent analytical and problem-solving abilities. o High attention to detail and organizational skills. Knowledge: o Understanding of stock broking compliance requirements and exchange regulations. o Familiarity with compliance software and tools is a plus. Preferred Attributes: Ability to work independently and as part of a team. Strong ethical standards and a commitment to maintaining confidentiality. Proactive approach to compliance and risk management.
Job Responsibilities: Manage financial reporting, audits, and compliance with accounting standards. Handle taxation, including direct and indirect taxes, GST, and income tax filings. Oversee budgeting, financial planning, and cost analysis. Ensure regulatory compliance with tax laws and corporate finance policies. Manage accounts payable, receivable, and reconciliation activities. Provide strategic financial advice to management. Broking Industry Working Experience
Experience: 3-4 Years Experience of Listed Compliances (from Broking Industry will be a plus) Must: Qualified Company Secretary Responsibilities include but not limited to: Compliances with SEBI LODR Regulations specified under SEBI Act, SCRA andthe rules made there under and those specified by Stock Exchanges (NSE & BSE) Quarterly, Half yearly and Annual Compliance Reports on BSE and NSE underSEBI (LODR) Regulations 2015 Compliances related to Companies Act 2013 Preparation of Annual Report of the Listed Company ROC/Secretarial Compliances Board Meetings and Annual General Meetings Preparation of Statutory returns/records with Registrar of companies, StockExchanges Annual filing along with other efilings of the ROC Forms Appointment & Cessation of KMP and Directors Preparation & maintenance of Minutes Book of the Board Meetings, GeneralMeetings & Committee Meetings Maintenance of Policies LEI Registration and its Renewal IEC Registration and its Renewal Other group Companies ROC/ Secretarial Compliances Responsibility of handling and supervising Trading, DP, Back Office, RMS andExchange & Listing Compliances Monitoring day to day exchange compliance Monitoring listing compliance Regular watch and reply on Alerts generated by exchanges Regular watch and remedial action on Alerts generated by back office software Watch on RMS Any other work as may assigned Membership Compliances_(NSE, BSE, MCX, ICEX, NCDEX, INDIA INX, NSE IFSC) Membership Compliances- NSE, BSE, MCX, NCDEX, & ICEX, NSE IFSC ANDINDIA INX (BSE) DP (CDSL) & Exchanges- Monthly, Quarterly, Yearly and event-basedCompliances Appointment of Authorized Person, Remisiers and all documentation related with it Inspection and Audit conducted by Exchanges Desired Profile: Must be able to evaluate, file, compile, and present various reports Advanced knowledge of excel Ability to work under pressure A keen eye for detail and desire to probe further into data Deadline-orientated and an ability to stick to time constraints
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