Executive Compliance

Full time

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Responsibilities

To ensure filing of all regulatory reports in time with exchanges/SEBI/MCA.
To send the circulars along with gist to all concerned departments and review circulars or guidelines issued by SEBI/Exchanges/CCP/MCA on daily basis and ensure for completion in time by coordinating with other relevant departments
To assist Head Compliance in Policies and Procedures and also on the guidelines issued by Exchanges/SEBI.
To co-ordinate with other departments on regulatory inspection or internal audits/inspection/regulatory reporting.
To work with regional teams on group projects and co-ordinate with regional business line for India related market and compliance issues. To assist in carrying out various regional reporting on timely basis.
To prepare and update secretarial records in accordance with Company Law, provide certified true copy of resolutions and organize Board/Committee meetings and coordinate with external retainer on Secretarial matters.
To perform surveillance checks, personal account dealing checks and various other compliance checks.

Qualification & Experience

Academic Background (degree and major):
Graduate (in any field – LLB/ B. A/ B.Com)
Company Secretary Degree (Associate member) - Preferred
NISM III A certificate (preferred)
PGDM in Securities Market from NISM (Preferred)
Relevant Working Experience in number of years: Candidates with minimum 2-3 years of experience in compliance function preferably from Broking firms will be preferred
Skills & Competencies required:
Basic Knowledge of SEBI and Exchange rules & regulations, Company Law.
To be up to date on all the regulatory amendments applicable to the Company and also changes in the Group policies.
Analytical thinking
Stakeholder management
High integrity