Mangal Keshav Group is looking for Sr. Executive - Compliance. As a Sr. Executive - Compliance, you will be responsible for ensuring that all activities of the firm comply with relevant regulations and laws. You will also be responsible for monitoring changes in regulations and updating policies accordingly. Additionally, you will be required to provide guidance to other members of the team on compliance matters. Expected Responsibilities: • Stay abreast of all applicable laws, regulations and circulars issued by regulatory bodies such as NSE/ BSE/MCX/CDSL/CVL KRA /SEBI and other relevant authorities • Assisting various internal stakeholders for implementation of Exchange circulars • Appointment, cancellation and Inspection of Authorised Persons Handling DP and Exchange's Internal Audits • Handling Exchange and SEBI Inspections • Activation/Modification/De-activation of NEAT/ NON-NEAT and CTCL terminals • Reporting of suspicious transaction to FIU • Review PMLA policy of the company and ensure its compliance • Reporting of Form 61-B • Analysis of Exchange alerts and closing them with proper justifications • Follow-ups with the Exchanges to obtain necessary approvals • Conduct regular KYC compliance reviews and audits to assess adherence to established policies and identify potential areas of improvement • Assist the team in compliance reporting, such as segregation of client funds, enhance supervision, bank balance, cash and cash equivalent, holding statement etc. • To draft, develop implement and review an effective compliance policy, as and when required Expected Skills: Graduation is a must. Post-Graduation will be preferred. Must have good knowledge of Stock Broking & Depository Participants and 3+ years of work experience in broking industry or with exchange/ NSE / BSE is a must. Good written and verbal communication skills. Professional certification, NISM Certification in Compliance would be an added advantage. Good familiarity with industry practices and professional standards. Deadline driven, self-motivated, attention to detail, great interpersonal skills along with strong ethics and professional conduct are a must for this role. -Great Interpersonal and team playing skills. -This is an Individual contributor role reporting directly to Director Compliance. Location : Andheri, Mumbai #broking #equitybroking #cdsl #nsdl #compliance #hiring #job #bseindia #nseindia Show more Show less