Responsibilities:

• Monitoring Inter department coordination and advising executive management regarding their impact to the organization.
• Preparing and conducting presentations to Updated exchange circulars and their effect in different department
• Knowledge of Trade Processing, accounts, clearing, regulatory compliance and Risk
• Handle queries / investigation of stock exchanges and initiate action against the queries.
• Responsible for departmental MIS Reporting.
• Ensure proper management of the various activities so as to avoid non-compliance.
• Coordinating with Legal persons for Arbitration and Legal Matters PMLA Compliance Looking after the risk management of BROKING businesses.
• Preparation of daily/weekly MIS pertaining to Risk management.
• Creation of New user ID / user name change/ Mapin /PRO/CTCL, system audit for exchange compliance & co-ordination with exchanges.

Essential Skills:

• Must have certified NISM related Series.
• Able to ensure knowledge about compliances related to SEBI Regulation & othernapplicable SEBI Regulations as per operations.
• Must have managed Broking industry operations.
• Should comply with other legal requirements from Exchange.
• Minimum 3-5 years in the broking industry may apply.