Compliance Officer - Stock Broking Company

Ahmedabad   |  Job Code : AHRS690

Job Description

Key Requirement Details:
  • Responsible for overall exchange compliances inclusive for National Stock Exchange Limited, BSE Limited, MCX limited and Central Depository Services (India) Ltd
  • Data compilation by co-ordinating with all the departments of the organization and submissions for such compliances inclusive of weekly, monthly, quarterly, half yearly & annual compliances of NSE, BSE, MCX, NCDEX & CDSL i.e. enhance supervision, system audit, internal audit, inspections and like.
  • Attending inspections from exchanges (NSE, BSE and MCX), depository (CDSL) and regulator (SEBI) Correspondences with SEBI and exchanges in the matter of any inquiry, investigation, replying show cause notices etc
  • Dealing in the matters with regards to the KYC, KRA, C-KYC i.e. account opening, registration of such KYC and removal of difficulties in day to day operations (if any).
  • Managing Bank Guarantee portfolio for multiple exchanges, clearing members, clearing corporations and from multiple banks.
  • Client Grievance resolutions pending with exchanges.
 
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