Compliance Executive

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Executive- Broking .

Location : Ahmedabad

Experience Required : Min 1.5 Years in Broking

Job Description :

• Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable, circulars / Notifications with respect to implementation / adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.
• Do settlement of client balances (Fund / Securities) and having brief knowledge of the same.
• Preparation of documentation of AP registration / cancellation and having brief knowledge of AP related compliances.
• Providing NEAT / CTCL terminal and maintain of MIS for the same.
• Submission of Weekly / Monthly / Quarterly / half yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.
• To Co-coordinate with the exchange(s), clients and departments for any compliance related issues.
• Maintain Recording data of clients transaction.
• Preparation of various applications / documentation as per exchange rules & regulation.
• Prepare and maintain MIS.

Interested candidates can share their updated resume on