Job Title: COMPLIANCE OFFICER

Responsibilities:

• Monitoring compliance related developments and rule changes and advising executive management regarding their impact to the organization.
• Preparing and conducting presentations to the Board of Directors regarding the organization's compliance program and communicating serious compliance matters with the board on an as needed basis.
• Ensure proper compliance under SEBI act, SCRA, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai and circulars issued by SEBI, NSE and BSE from time to time.
• Handle queries / investigation of stock exchanges and initiate action against the queries.
• Responsible for various periodical submissions to BSE and NSE.
• Attend audit & inspections carried out by various authorities prior and post inspection work.
• Ensure proper management of the various activities so as to avoid non-compliance.
• Coordinating with Legal persons for Arbitration and Legal Matters PMLA Compliance Looking after the risk management of BROKING businesses.
• Preparation of daily/weekly MIS pertaining to Risk management.
• Creation of New user ID / user name change/ Mapin /PRO/CTCL, system audit for exchange compliance & co-ordination with exchanges. 

Essential Skills

• Must have knowledge of Compliance related to Exchange.
• Certificate of Compliance officer is must.
• Able to ensure compliances related to SEBI Regulation & other applicable SEBI Regulations.
• Must have managed Risk and Compliance for a financial services firm.
• Should comply with other legal requirements from Exchange.
• Minimum 3 years of experience in the broking industry as a back office executive may apply.