Posted:1 month ago|
Platform:
Work from Office
Full Time
Ensuring compliance and reporting as per the rules and regulations framed by regulatory authorities (Exchange, SEBI, CDSL)
Replying to compliance related queries
Handling Exchange / DP & SEBI Inspection
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.
To track day to day circulars / notifications / notices issued by regulatory
Ensure appropriate and timely alert management
Knowledge of Audit of Authorized Person.
Working knowledge of advisory aligned surveillance and adhoc investigations.
3 - 8 year of experience in handling compliance activities for Share Broking Companies
Excellent written and oral communication skills with attention to details Proficient at using MS Excel and MS word
Progressive Share Brokers
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