Responsibilities:

• Handling KYC, DP, Pay in, Payout works.
• Checking Demat A/C opening form and trading account opening form.
• Rolling out and implementing key policies i.e. market risk management, dealing room activities and fraud risk management.
• To look into ledger balances of the clients when mark to market hits.
• Preparation of daily/weekly MIS pertaining to Risk management.
• Monitoring compliance related developments and rule changes and advising executive management regarding their impact to the organization.
• Ensure proper compliance under SEBI act, SCRA, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai and circulars issued by SEBI, NSE and BSE from time to time.
• Handle queries / investigation of stock exchanges and initiate action against the queries.
• Responsible for various periodical submissions to BSE and NSE.
• Attend audit & inspections carried out by various authorities prior and post inspection work.
• Ensure proper management of the various activities so as to avoid non-compliance.

Essential Skills:

• Must have knowledge of Compliance related to Exchange.
• Able to ensure compliances related to SEBI Regulation & other applicable SEBI Regulations.
• Must have managed Risk and Compliance for a financial services firm.
• Should comply with other legal requirements from Exchange.