Job Description

Job description

Primary role

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.


Job Overview (7358)

Experience

60 Month(s).

City

Surat.

Qualification

CS

Area of Expertise

SECURITY MARKET COMPLIANCE

Prefer Gender

Male

Function

Compliance

Audio / Video Profile

NA