Compliance Executive-Broking-E

Key Responsibilities

• Regulatory Compliance & Monitoring : Disseminate circulars and notifications issued by regulators / exchanges to relevant departments daily. Track actionable points and monitor adherence and implementation status.
• MIS & Documentation : Prepare and maintain MIS for regulatory circulars, client settlements, AP registration / cancellation, NEAT / CTCL terminal allocation, and compliance-related data.
• Client Settlement : Handle client fund and securities settlement processes and ensure accurate recordkeeping in compliance with SEBI and exchange norms.
• Authorized Person (AP) Documentation : Prepare and manage documentation for AP registration, cancellation, and related compliance formalities.
• Terminal Management : Allocate NEAT / CTCL terminals to users and maintain updated records and MIS for the same.
• Regulatory Filings : Prepare and submit periodic (weekly, monthly, quarterly, half-yearly, and annual) reports and returns to exchanges within defined timelines.
• Liaison & Coordination : Coordinate with exchanges, internal departments, and clients to resolve compliance-related queries or observations.
• Record Maintenance : Maintain accurate records of client transactions, compliance submissions, and internal approvals as per exchange and SEBI requirements.
• Application & Documentation : Prepare necessary applications and supporting documentation as per exchange rules and circulars.

Skills : neat,ctcl,brokerage operations,mis reporting,compliance executive,compliance officer

Skills Required

Mis Reporting, compliance officer