SECURITY MARKET COMPLIANCE MANAGER

Job description

• Timely filing of intimation, Preparation and submission of periodic and incidental returns and reports with SEBI, CDSL, NSDL, NSE, ICEX, BSE and IRDA. (Stock broking, Depository services, Insurance broking business)
• Drafting and vetting of all terms and conditions, agreements, contracts, declarations, undertakings and other legal drafts with stock exchanges, depositories and other parties.
• Ensuring timely renewal of regulatory licenses and registrations.
• Preparation and updations of versions of various templates such as trading and demat account opening form, kyc forms, risk documents, declarations, agreements and other documents pertaining thereto.
• Record keeping and maintenance of all compliance activities and filings in NJ Compliance Module. To ensure safe storage, custody and renewal of regulatory and other licenses and registration certificates.
• Draft, prepare and submit representation letters to regulators, exchanges, depositories, SEBI, IRDA and other government agencies.
• Research and Study of various applicable rules, regulations, notifications, circulars, guidelines, orders issued by exchanges, depositories, regulatory and other authorities and make proper implementations.
• Establishment of implementation of framework for group level anti-money laundering policy and processes and necessary reporting and record maintenance compliances.