Compliance Executive

Job Purpose

Compliance personnels work is to ensure that the activities of their employing companies adhere to guidelines established by the government or non-profit agencies that regulate them.

Duties and Responsibilities

• Conducting CPE (Training Program) and Examination of all (Employees, Sub-brokers and Authorised Person).
• Taking care of documentation for empanelment with various financial institutions.
• Registering authorized person.
• Cancellation of sub-brokers registration.
• Coordinating with various departments in regards to data collation which is required to be submitted with various authorities.
• Handling any other ad-hoc work assigned by senior/management.
• Taking care of various Compliances of MCX/NCDEX/NSE/BSE/MCX-SX includes :
• Submission of Annual Return (AR)
• Annual Compliance Report (ACR)
• Disclosure of share holding pattern - 1% holding of listed shares - Quarterly.
• Half yearly Networth Certificate.
• Internal Audit Report
• Risk based supervision
• Enhanced supervision compliances
• Limits setting of clients/branches/Compliance Officer Certificate.
• System Audit Report
• Upload of Insurance policies with various exchanges

Qualifications

• Education – Any Graduate/Post Graduate

Skills Required

• Good Communication Skills
• Good Interpersonal Skills
• Coordination Skills
• Patience

Working conditions

Candidate should 1-3 years of experience in Share Market / Stock Broking industry.

Interested candidates can share their CVs at sonia.pal@briskmind.in