Department: Compliance Location: Delhi Grade: Manager / Senior Manager Qualification: CS/CA/MBA having experience 4-5 years Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL) Prevention of Insider Trading compliance Implementation of Circulars: Checking for new circulars. Preparing Gist of the same and circulating the same to the concerned departments. Drafting and implementation of Policies – regulatory and governance perspective Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines Providing assistance to other department on Compliance related area and resolving queries raised by them. Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them Compliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelines PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis Inspection of Branches NISM Certification tracking Communication with Exchanges, Depositories and SEBI Investor grievances mechanism ensuring from Compliance Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them Submission of Periodical returns. Identify improvement areas and opportunities for automation Periodical submission Tracking and updating seniors about the Compliances aspects
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