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