Job Description
Department: Compliance
nLocation: Delhi
nGrade: Manager / Senior Manager
nQualification: CS/CA/MBA having experience 4-5 years
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- Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)n
- Prevention of Insider Trading compliancen
- Implementation of Circulars: Checking for current circulars. Preparing Gist of the same and circulating the same to the concerned departments.n
- Drafting and implementation of Policies – regulatory and governance perspectiven
- Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelinesn
- Providing assistance to other department on Compliance related area and resolving queries raised by them.n
- Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to themn
- Compliance health check up :



Conducting reviews of various activities, forms, processes as per regulatory guidelinesn
- PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basisn
- Inspection of Branchesn
- NISM Certification trackingn
- Communication with Exchanges, Depositories and SEBIn
- Investor grievances mechanism ensuring from Compliancen
- Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by themn
- Submission of Periodical returns.n
- Identify improvement areas and opportunities for automationn
- Periodical submissionn
- Tracking and updating seniors about the Compliances aspectsn

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📌 Compliance Manager (New Delhi)
🏢 Incred Money Broking
📍 New Delhi