Secretarial Compliance

ACME SERVICES PRIVATE LIMITED

1 - 5 years

5 - 8 Lacs

mumbai

Posted:23 hours ago| Platform:

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Skills Required

regulatory compliance internal audit job description regulatory reports secretarial compliance screening training and development collaterals stock broking hrsd training sourcing talent acquisition employee engagement recruitment regulations

Work Mode

Work from Office

Job Type

Full Time

Job Description

Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
Manage all operational processes as per regulatory framework to ensure exchange compliance.
Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.

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