Role & Responsibilities:Stay abreast of all applicable laws, regulations and circulars issued by regulatory bodies
such as NSE/BSE/MCX/CDSL/CVL KRA /SEBI and other relevant authoritiesAssisting various internal stakeholders for implementation of Exchange circulars
Appointment, cancellation and Inspection of Authorized Persons
Handling DP and Exchanges Internal Audits
Handling Exchange and SEBI Inspections
Handling of investor grievances of clients
Activation/Modification/De-activation of NEAT/NON-NEAT and CTCL terminals
Reporting of suspicious transaction to FIU
Review PMLA policy of the company and ensure its compliance
Analysis of Exchange alerts and closing them with proper justifications
Follow-ups with the Exchanges to obtain necessary approvals
Conduct regular KYC compliance reviews and audits to assess adherence to SOP's
Knowledge about compliance reporting, such as segregation of client funds, enhance
supervision, bank balance, cash and cash equivalent, holding statement etc.Ongoing maintenance, updates, version management, and dissemination of retail
marketing disclaimers., including new drafting new disclosures as required
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Job Detail
Job Id
JD3705491
Industry
Not mentioned
Total Positions
1
Job Type:
Full Time
Salary:
Not mentioned
Employment Status
Permanent
Job Location
MH, IN, India
Education
Not mentioned
Experience
Year
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Beware of fraud agents! do not pay money to get a job
MNCJobsIndia.com will not be responsible for any payment made to a third-party. All Terms of Use are applicable.