Job Responsibilities
Handle trade allocation and segregation activities as per applicable exchange and regulatory requirements.
Prepare and verify quarterly settlement calculations and ensure timely processing.
Handle Exchange-related queries, notices, and communications and coordinate with concerned departments for appropriate responses.
Handle internal inspections, audits, and compliance reviews conducted by the company/exchanges/regulatory authorities.
Maintain and provide required compliance records, reports, documents, and supporting data during inspections and audits.
Monitor day-to-day stock market and broking compliance activities.
Ensure compliance with applicable SEBI, NSE, BSE, MCX and other regulatory/exchange requirements, as applicable to the company.
Coordinate with Operations, RMS, Accounts, Back Office and other departments for compliance-related matters.
Identify compliance gaps and assist in implementing corrective and preventive actions.
Maintain proper documentation and ensure timely closure of compliance-related observations and queries.
Required Skills & Experience
Hands-on experience in stock broking / stock market compliance is mandatory.
Practical experience in Allocation & Segregation.
Experience in Quarterly Settlement calculations.
Experience in handling Exchange queries and notices.
Experience in handling Internal Inspections / Audits.
Valuable understanding of broking operations and regulatory compliance.
Strong documentation, analytical and communication skills.
Candidate should be able to independently handle day-to-day compliance activities.
Preferred Candidate Experience: 2–5 years in Stock Broking / Capital Market / Compliance
Key Requirement: Candidates with practical hands-on experience in Allocation & Segregation, Quarterly Settlement, Exchange Queries and Internal Inspection will be preferred.
Pay: ₹35,000.00 - ₹50,000.00 per month
Advantages
Adaptable schedule
Work Location: In person
📌 Compliance Manager Mulund West
🏢 Rikhav Securities
📍 Mulund West
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