Job Description:
Position : Compliance Department
Min. Exp. 3 Max.Exp. 5
Location Malad, Mumbai
Industry Type Broking
only Male
Monday to Friday: 8:00 AM to 5:00 PM
Saturday: 10:00 AM to 5:00 PM
Weekly Off: 2nd and 4th Saturdays and all Sundays
JD
➢ Handling regulatory compliance of BSE, NSE and SEBI regulations for Co. Securities Limited and Co. Commotrade Limited.
➢ Submission of Internal audit and Concurrent ➢ , and advise the company regarding compliance audit report to CDSL.
➢ Updating of Dealers NISM certificate before expiry in All Exchanges.
➢ Gathering and analyzing data, performing computations, and preparing work Researched, interpreted with laws and regulations.
➢ Handling Inspection of SEBI, Exchanges, and Depositories and drafting compliance report.
➢ Registration and cancellation of Authorized person in NSE, BSE and MCX and providing letters for approval of registration and cancellation of Authorized person once registered or cancel with exchange.
➢ Provide data to exchange as and when required.
➢ Maintained and reviewed all contracts and agreements to ensure all policies and procedures were fully followed. Review of various policies of the organization
➢ Organize and facilitate monthly, Quarterly, Yearly compliance review board meeting, attended by Chief Executive Officer, Chief Financial Officer, and executive of company.
➢ Directly reported to the Chief Executive officer to ensure company objective are meet and executed goals.
➢ Co ordinating and follow up with exchange regarding quires.
➢ Ensure regulatory compliance with Companies Act, 2013 for Co. Securities Limited and Co. Commotrade Limited.
➢ Taking vendor approval from Exchanges.
➢ Submission or registration of any other membership related activities.
➢ Replies to Letter of observation and Drafting compliance report of Concurrent audit report.
➢ Closing alerts of Exchanges as well as CDSL.
➢ Daily Sending and implementing circulars of SEBI, Exchanges, Depositories.
➢ Making representatio
📌 Compliance. (Mumbai)
🏢 RECEX
📍 Mumbai