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Senior Compliance Officer Location: IN-Ahmedabad Email this job to a friend
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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.
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