Compliance Executive Intern

Estabizz Fintech Private Limited

Job Description

• Handling all Compliances related to SEBI and various Exchanges in Cash, F&O, Currency and Commodity Segments

• Adhering into Compliance calendar of all Exchanges in all segments

• Responsive & Written Correspondence with SEBI & various Exchanges

• Preparation of MIS reports

• Filing, drafting replies of matter related to arbitration, SEBI and all exchanges.

• Handling IGRC matters with BSE and NSE and resolving client complaints

• Coordinating with legal counsels and advisors

• Handling compliances related to PMS , DP & Broker

• Taking care of timely Reporting related to Exchange . Checking the data of reporting through different aspects and identify the problems in the data part of reporting

• Reading Circulars and amendments

• taking care of Internal Audit

• Taking care of AP and Audit part

• MOM Drafting and updating to the concern

Educational Qualifications:

Candidate should be a graduate. He / She may have a degree of LLB / LLM (corporate & securities law) / Company Secretary.

Required Skills:

• Well versed with handling of all Compliance & Legalities

• Tech savvy & systems oriented

• Good spoken and written English

• Convincing Abilities

• Candidate would be required to liaise closely with business & support groups mainly, Settlement-DP, Client Account, Marketing, Branches, Sub-brokers & all the associates.

• Experience

  0 - 1 Years

• No. of Openings

  3

• Education

  LLB, LLM

• Role

  Compliance Executive intern

• Industry Type

  Recruitment Consulting / Staffing Services

• Gender

  [ Male / Female ]

• Job Country

  India

• Type of Job

  Full Time

• Work Location Type

  Work from Office