Job Description:
Handling Compliances and Inspections related to all exchanges, Depository and Regulatory
Validation and quality assurance of Inspection Reports
Preparation and Submission of Periodical Returns to Exchanges, Depository (Quarterly, Half Yearly, Annually)
Verification of KYC, KRA and the supporting documents of the Clients including Corporate, Trust, NRI and FPIs and their related compliances
Review and updation of KYCs as per the latest guidelines of the Regulators
Handling and resolving Grievances of Clients
Formulation/ review of PMLA Policy and their related compliances
Handling Independent Audits related to all exchanges, depositories and regulatory authorities ensuring best compliance
Successfully ensured compliance with SEBI and Exchange Circular
Developed and Implemented Standard Operating Procedures (SOP) for process optimization
Conducting Regular Inspections of Branches and Authorised Person as per the directions issued by the Exchanges.
Desired Profile / Criteria / Skills :
Experience: 5 to 10 years of relevant experience in Retail broking, wealth management.
Education: Graduate / Postgraduate in related field (MBA preferred), NISM Series VII (Preferred)