Participating in the planning, executing and reporting of compliance assurance reviews an compliance and regulatory issue validation activities for a component of policy line & function
Managing Inspections carried out by Exchanges, Depositories and SEBI
Managing internal audits of Depositories and Exchanges
Submission of Internal & System Audit Report & assisting in conducting the Audit (NSE, BSE& NSDL)
Interpreting and sending Exchange & SEBI circulars, Implementation of the circulars
Seeking regulatory approvals for Advertisements and any other changes as proposed by Management etc
KYC Compliance and monitoring of compliance functions
Preparation, submission, and uploading Annual return & Compliance to the exchanges.
Timely updating Policies and procedures in line with Exchange guidelines
Evaluating new regulatory guidelines and implementation
Submission of Enhanced supervision data and other Exchange reporting’s on a timely manner As follows:
Submission of Bank Account wise Balances for all bank accounts on weekly basis
Submission of details for Cash and Cash Equivalents on weekly basis
Submission of Holding Statement on weekly basis
Submission of the data for monitoring of Clients’ Funds lying with Member on weekly basis
Submission of 1% holding to the Exchange
Submission of Internal Risk Assessment
Submission of Yearly & Half Yearly Net-worth Certificate
Submission of Net-worth Certificate for Margin Trading
Submission of Risk Based Supervision (RBS) data
Submission of Quarterly Compliance Certificate
Submission of Annual Accounts to the Exchanges
Submission of Cyber Security & Cyber Resilience Audit and assisting in conducting the Audit
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Higher Boosting
Resume Highlighter
Verified Stamp
Resume Exposure
1 - 7 Years
1 Openings
2.0-6.0 Lac/Yr
Face-to-Face interview