Compliance Executive in Kalbadevi, Mumbai

Job Description:

Education – Any Graduate/Post Graduate/Under Graduate, NISM/NCFM Certified
Candidate should have minimum 1 to 3 years of experience in Share Market / Stock Broking industry.

From Stock Broking Industry with relevant experience. Experience in Tech Excel Software will be added advantage.
Note:- Candidate having NISM and NCFM certification. Must have NISM 3A certified.

Job Purpose
Compliance personnel’s work is to ensure that the activities of their employing companies adhere to guidelines
established by the government or non-profit agencies that regulate them.

Duties and Responsibilities
Drafting of important notices & resolutions.
Monitoring following work:
. Submission of Annual Return (AR).
. Conducting CPE (Training Program) and Examination of all (Employees, Sub-brokers and Authorised Person).
. Documentation for empanelment with various financial institutions.
. Registering authorized person.
. Cancellation of sub-brokers.

Taking care of various Compliances of MCX/NCDEX/NSE/BSE/MCX-SX includes :
. Submission of Annual Return (AR)
. Annual Compliance Report (ACR)
. Disclosure of share holding pattern - 1% holding of listed shares-Quarterly.
. Half yearly Networth Certificate.
. Internal Audit Report. (Half Yearly)
. Limits setting of Clients/Branches/Compliance Officer Certificate.
. System Audit Report.
. Risk based supervision.
. Enhanced supervision compliances.
. Upload of Insurance policies with various exchanges.
. Checking of all documents drafted/ prepared by department.

Conducting departmental meetings.
Checking and confirming minutes of last meetings.
Handling Inspection of Exchanges and submitting required details, if any.
Handling ISO Inspection.
Maintaining compliance calendar.
Sending daily circulars to the dealers, sub-brokers, AP or any other concerned person.
Handling complaints/queries from various clients/authorities/Exchanges/SEBI.
Qualifications

Skills Required
Good Communication Skills
Good Interpersonal Skills
Coordination Skills
Patience
Working conditions