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MONEYLICIOUS INVESTMENTS AND CONSULTING SERVICES PRIVATE LIMITED

Compliance Officer- Equity Markets

Date Posted : 2nd Aug 2022
13 applicant(s)
Mid-Level (4 to 6 years)
Mumbai
Rs. 300000 INR -Rs.700000 INR (PA)
Full-Time
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Job Location: Goregaon East , Mumbai


Mandatory Requirements :

1. Graduation mandatory

2. Should have experience of NSE/ BSE /MCX / DP Compliance


Job Description:

  • Handle all Compliance for Retail broking & ensure that there is no regulatory non compliance / observation made during inspection.
  • Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionable.
  • Handling all regulatory inspections and audits
  • Manage and Independently handle all stock broking related routine compliances
  • Independently handle Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) filing
  • Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy
  • Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI
  • Ensure that compliances related to SEBI, BSE/NSE, MCX are followed
  • Enhance supervision working and reporting on weekly basis
  • Handling Arbitration matters