Role & responsibilities
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.