Industry : Broking
Sub Department : Legal Compliance
Department : Legal
: Navi Mumbai
: Navi Mumbai
: India
: 5 - 12 p.a (INR Lacs)
: 2 - 5 Year
Knowledge Required:
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Understanding of securities trading and corresponding regulations
• Research and analytical skills in addition to a technical aptitude
Qualification:
MBA/LLB/LLM or professional qualification like CA/CS
Job Description
1. Tracking and disseminating regulatory circulars, developments and guidelines from SEBI, NSE, BSE and MCX.
2. Handling Qualified Stock Broking (QSB) related compliances
3. Handling submission of various regulatory reportings
4. Assisting teams in interpretation and implementation of the regulatory directives and various internal policies
5. Assisting in implementation of regulatory requirements of SEBI (Prohibition of Insider Trading) Regulations, 2015 and SEBI (Research Analyst) Regulations, 2014.
6. Engaging with vendors/CA firms to ensuring timely audits are conducted which are required by regulators.
7. Should be able to implement Training Calendar within the Company.
18, 38
• 2-4 yrs experience in handling Stock Broking related compliances is preferred
Other skills:
• The candidate must be proactive, possess strong communication (verbal and written) skills and analytical skills.
• Strong working knowledge with MS Excel, MS Word and Macros
• Be self-directed, with the ability to proactively identify and analyze problems
• Have good organization skills with the ability to work towards and meet deadlines
• The candidate must be detail-oriented, organized and assertive
• The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude