Department: Compliance

Location: Delhi

Grade: Manager / Senior Manager

Qualification: CS/CA/MBA having experience 4-5 years 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 (Mumbai)
🏢 Incred Money Broking
📍 Mumbai