Executive Compliance

Job Summary: The executive will be responsible for ensuring our operations adhere to exchange regulations and internal compliance standards. The ideal candidate will possess in-depth knowledge of exchange-related work, demonstrate proficiency in MS Excel, and be skilled in drafting correspondence with regulatory authorities.

Key Responsibilities:

Regulatory Compliance: Monitor and ensure compliance with relevant exchange regulations, laws, and internal policies. Assist/conduct regular compliance audits and risk assessments.

Exchange-related Work: Handle tasks related to exchange requirements including reporting, documentation, and liaising with exchange authorities to ensure adherence to regulatory guidelines.

MS Excel Proficiency: Utilize MS Excel for data analysis, reporting, and maintaining accurate compliance records.

Drafting and Correspondence: Prepare and draft replies to regulatory inquiries, reports, and other correspondence. Ensure all communications are clear, accurate, and timely.

Internal Coordination: Collaborate with various departments to ensure compliance across all areas of the business. Provide guidance and training on compliance-related matters.

Issue Resolution: Identify, investigate, and resolve compliance issues and discrepancies. Implement corrective actions and preventive measures as necessary.

Record Keeping: Maintain comprehensive records of compliance activities, audits, and correspondence. Ensure documentation is up-to-date and easily accessible.

Qualifications:

Education: CS/LLB/Semi Qualified CS/MBA

Experience: Minimum of 2 years of experience within the financial services or stock broking industry. Candidate should be familiar with financial services or stock broking industry.

Skills:

o Proficiency in MS Excel, including advanced functions such as VLOOKUP,pivot tables.

o Strong written and verbal communication skills for drafting correspondence and interacting with regulatory bodies.

o Excellent analytical and problem-solving abilities.

o High attention to detail and organizational skills.

Knowledge:

o Understanding of stock broking compliance requirements and exchange regulations.

o Familiarity with compliance software and tools is a plus.

Preferred Attributes:

Ability to work independently and as part of a team.

Strong ethical standards and a commitment to maintaining confidentiality.

Proactive approach to compliance and risk management.