Compliance Assistant Jobs in Mumbai - Synapse Search Partners
Compliance Assistant
Job Description
Title: Compliance Assistant
Location: India (Work from Home)
Experience required: Minimum 2years.
Roles and Responsibilities:
-Implement and execute all day-to-day broking compliances with respect to reporting and submissions.
-Implement an effective compliance framework for MP broking operations.
-Monitor the compliance of the rules, regulations, notifications, guidelines, instructions issued by regulators and exchanges.
-Create sound internal controls and monitor adherence to them.
Requirements:
-Detailed understanding of the SEBI compliances, rules, and regulations.
-Detailed understanding of exchange compliances, bylaws, regulations.
-Maintain a Code of Conduct at all times.
-Ensure compliance with existing and new regulations at all times.
-Timely review of exchange notifications & guidelines.
-Should be able to handle regulatory audit-related queries.
-Minimum 2 years of experience in Broking Compliance.
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