Back Office Executive

Department: Back Office
Experience: 1-3 Years

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.

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