Department : Compliance

Location : Delhi

Grade : Manager / Senior Manager

Qualification: CS/CA/MBA having experience 5-8 years

/ Responsibility:

- Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)
- Prevention of Insider Trading compliance
- Implementation of Circulars: Checking for current circulars. Preparing Gist of the same and circulating the same to the concerned departments.
- Drafting and implementation of Policies regulatory and governance perspective
- Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines
- Providing assistance to other department on Compliance related area and resolving queries raised by them.
- Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them
- Compliance health check up :



Conducting reviews of various activities, forms, processes as per regulatory guidelines
- PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis
- Inspection of Branches
- NISM Certification tracking
- Communication with Exchanges, Depositories and SEBI
- Investor grievances mechanism ensuring from Compliance
- Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them
- Submission of Periodical returns.
- Identify improvement areas and opportunities for automation
- Periodical submission
- Tracking and updating seniors about the Compliances aspects

📌 Compliance Manager (Delhi)
🏢 Incred
📍 Delhi