Mandatory Requirement- Should have worked in similar job position in Capital Market Compliance

Location : Mumbai- Goregaon

Job Description:

·      Handling Regulatory Inspection with regard to SEBI, Exchanges, Depositories, etc.

·      Handling Internal Audit of Broking, Commodity, DP

·      Assisting in the handling of Compliances related to Broking, DP, Commodities and IRDAI.

·      Dealing with Exchange and Depository Investigation-related matters.

·      Various periodic submission as mandated by Exchanges, Depositories and IRDAI.

·      Resolving the queries of DP department and assisting them on the necessary guidelines.

·      Resolving account opening related queries.

·      Assisting in decision making in connection to Surveillance cases.

·      Communicating of Regulatory Guidelines/ Circulars/Orders to Management and Employees.