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NJ Group
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Regulatory Compliance Manager - SEBI & Financial Regulations

Regulatory Compliance Manager - SEBI & Financial Regulations

NJ Group

5 - 8 years

8 - 9 Lacs

Surat

Posted:23 hours ago| Platform:

Apply

Skills Required

Sebi Compliance Regulatory Compliance Aml Broking Compliance KYC Security Anti Money Laundering

Work Mode

Work from Office

Job Type

Full Time

Job Description

Primary Role:

Periodic reporting as a SEBI registered Stock Broker and Depository Participant and tracking of amendments:

Regulating Authorities: SEBI, CDSL, NSDL, NSE, BSE, ICCL

Periodic reporting as a PFRDA registered Point of Person for NPS and tracking ofamendments: Regulating Authority: PFRDA
To coordinate with the finance, operations and IT department for obtaining relevant information and details for preparation of the certificates and reports to be submitted with the various regulators/SRO/MIIs.
Dealing and coordinate with the Internal Auditors/ External Auditors
Ensure timely intimation to the regulators with respect to incidental compliance i.e. updation of DP service centers, updation of branches, Change in Name, Shareholding, Principal Officer, Compliance Officer, etc. of the Companies registered with the regulators/SROs/MIIs.
Ensuring updation of various forms applicable for onboarding of clients for trading and demat account opening and allied services.
Ensure entry, storage, updation of the NJ Compliance Module in the system.
To keep storage and custody of License and Registration Certificates issued by the regulators.
FATCA and CRS reporting and coordination with Consultant.
To ensure provisions of PMLA and Surveillance related laws are duly complied.
Ensure efficient functioning of team and assist team members to achieve optimum performance levels.

Secondary Role

Helping superior in preparing the MIS reports as and when required.
Helping superior for any incidental task.
Team Handling

Job location

Contact Details :

Email - acsah.samuel@njgroup.in

Mob - 9313922203

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