- Ensure compliance with SEBI, NSE, BSE and other applicable regulatory requirements.
- Manage daily client funds and securities segregation and related reporting.
- Prepare and monitor daily margin reporting, including reconciliation and submission to Exchanges.
- Monitor client-level funds, securities and margin requirements and identify discrepancies.
- Handle NSE/BSE observations, queries and correspondence, including preparation of responses and ensuring timely closure.
- Maintain records of regulatory submissions, correspondence and compliance documentation.
- Track SEBI/Exchange circulars and regulatory changes and assess their applicability.
- Coordinate with Operations, Risk, RMS,
Accounts and Broking teams for timely compliance.
- Assist with Exchange inspections, audits and regulatory reviews.
- Prepare periodic compliance MIS and reports for senior management
Preferred Research Analyst Compliance Knowledge of SEBI Research Analyst Regulations will be an added advantage, including:
- RA regulatory and ongoing compliance requirements.
- Compliance relating to research reports, recommendations and disclosures.
- Conflict-of-interest and code-of-conduct requirements.
- RA audits, records and regulatory submissions.