Job Title Manager – Compliance
Department Compliance Department
Qualification Minimum Graduate
Location Khar west, Mumbai
Experience 3-4 yrs
Responsibilities Handling all statutory of Trading Member(LMSPL+AASPL) with all exchanges like - 1. Member Activation & surrender procedure ( currently done for AASPL) 2. Updating & getting approval of change in Trading Member details Like : • Change in Shareholding Pattern • Change in Director’s & their details • Change in member Contact details • Change in compliance officer details etc…. (recently done for AASPL) 3. Submission of Annual returns 4. Submission of Quarterly compliance certificate 5. Submission of Yearly / Half yearly net worth Certificate 6. Submission of internal Audit report,RBS submissions Etc…… 7.Co-ordinating in SEBI /Exchange inspections
Desired Profile compliance requirements related to Authorised Persons & Sub-brokers (LMSPL+AASPL+MCX+NCDEX) 1. Preparation of initial documents of new intermediary / Franchisees to get them registered with Trading Member. 2. SEBI/Exchange Registration, Cancellation & Affiliation Documents of the sub-broker/Authorised Person’s. 3. Maintaining database of all Authorised Persons/Sub-brokers/Branches documents 4. Handling APs / Sub-broker/Branches queries related to compliance department. 5. Resolving the exchange queries for all statutory compliance related issues. 6. Enrolling all users at NISM / NCFM / My MCX portal to get all mandatory certifications. I.e. Equity derivative Certification, SORM certific
No. of Openings 1
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