Compliance Executive
Location : Mumbai
Qualification : Graduation/ Post graduation preferred
Experience in Years : 2-3 Years
Scope and Responsibilities :
• Working on weekly client funds data and reporting to NSE, BSE, MCX, NCDEX & ICEX.
• Working on monthly client funds & securities balances and reporting to NSE, BSE, MCX, NCDEX & ICEX.
• Maintaining repository of all compliance & inspection related data.
• Circulate notices, guidelines to concerned departments for their updation as per SEBI & Exchanges requirements.
• Provide data for reporting of Risk Based Supervision.
• Handling of branch inspections data of all regions.
• Guiding branches on new regulatory requirements.
• Drafting policies & procedures related to compliance work.
• Providing data to seniors officials as per inspection / IAR requirements.
• Registration/Cancellation/Termination Authorized Person of all exchanges.
• Modification of data related to registered Authorised Person.
• Processed conversion of Sub brokers into Authorised Person.
• Follow up with all exchanges for compliance related queries.
• FATCA reporting – preparing file of US & NON US clients as per FATCA guidelines.