Compliance Executive
Mumbai | 1 to 3 years of experience
 
Responsibilities:

  • ·         Preparation & timely submission of various forms, reports and other documents to Exchanges/Depositories
  • ·         Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time
  • ·         Assisting in handling Investor Grievances as per regulatory guidelines
  • ·         Assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
  • ·         Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines
  • ·         Liaising with Exchanges, Depositories for routine matters
  • ·         Any other compliance matters as assigned from time to time
Requirements:

  • Degree holder
  • Good command of spoken and written English
  • Quick learner, proactive and highly business focused
  • Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up
  • Ability to draft clear and professional correspondence and other documents of a legal, compliance and business nature
  •  Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines

 

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