Job Description:
Key Responsibilities:
● Periodic Regulatory Reporting & Tracking:
○ Manage and ensure timely and accurate periodic reporting as a SEBI registered Stock Broker
and Depository Participant to regulating authorities including SEBI, CDSL, NSDL, NSE, BSE,
and ICCL.
○ Oversee periodic reporting as a PFRDA registered Point of Presence for NPS to the PFRDA.
○ Proactively track and analyze amendments to regulations, circulars, and guidelines issued by all
relevant regulatory authorities (SEBI, CDSL, NSDL, NSE, BSE, ICCL, PFRDA).
● Cross-functional Coordination for Reporting:
○ Coordinate extensively with the Finance, Operations, and IT departments to obtain all necessary
information and details for the preparation of certificates and reports required by various
regulators, Self-Regulatory Organizations (SROs), and Market Infrastructure Institutions (MIIs).
● Audits & Compliance Monitoring:
○ Coordinate and liaise with Internal Auditors and External Auditors during compliance reviews
and audits, providing all necessary documentation and explanations.
○ Ensure all provisions of PMLA (Prevention of Money Laundering Act) and Surveillance related
laws are duly complied with across all business operations.
● Incidental Compliance & Updation:
○ Ensure timely intimation to regulators regarding all incidental compliance matters, including but
not limited to, updation of DP service centers, branch details, changes in company name,
shareholding patterns, Principal Officer, Compliance Officer, and other key personnel of the
companies registered with various regulators/SROs/MIIs.
○ Ensure updation of various forms applicable for onboarding of clients for trading and demat
account opening and allied services, maintaining compliance with KYC and other regulatory
requirements.
● Compliance System Management & Documentation:
○ Ensure the accurate entry, storage, and updation of the NJ Compliance Module within the
internal system.
○ Maintain secure storage and custody of
📌 Regulatory Compliance Manager (Surat)
🏢 RECEX
📍 Surat