COMPLIANCE EXECUTIVE Jobs in Mumbai,Navi Mumbai - LATIN MANHARLAL SECURITIES PVT LTD
COMPLIANCE EXECUTIVE
LATIN MANHARLAL SECURITIES PVT LTD
Expired
Posted: 26 Dec 18
Job Description
- Handling all statutory compliances
of Trading Member with all exchanges
- Member Activation
& surrender procedure
- Updating & getting approval
of change in Trading Member details Like :
- Change in Shareholding
Pattern
- Change in Director’s
& their details
- Change in member
Contact details
- Change in compliance
officer details etc….
- Submission of
Annual returns
- Submission of Quarterly
compliance certificate
- Submission of Yearly / Half
yearly net worth Certificate
- Submission of internal Audit
report , RBS submissions Etc……
- Co-ordinating in SEBI /Exchange
inspections persons compliance requirements related to Authorised &
Sub-brokers
- Preparation of
initial documents of new intermediary / Franchisees to get them registered with
Trading Member.
- SEBI/Exchange
Registration, Cancellation & Affiliation Documents of the
sub-broker/Authorised Person’s.
- Maintaining database
of all Authorised Persons/Sub-brokers/Branches documents
- Handling APs /
Sub-broker/Branches queries related to compliance department.
- Resolving the
exchange queries for all statutory compliance related issues.
- Enrolling all users at NISM /
NCFM / My MCX portal to get all mandatory certifications. I.e. Equity
derivative Certification, SORM certification, Research Analyst, MCCP and NCFE
etc...
- Keeping records, files &
database related to compliance department
Job Particulars
Role others
Education B.Com
Who can apply Freshers
Hiring Process Face to Face Interview
Employment TypeFull Time
Job Id534878
Job Category Analyst / Analytics , Logistics / Transportation
Locality Address Khar
State Maharashtra
Country India
About Company
Latin Manharlal Group, incorporated in 1989, offers financial services in India and has become synonymous with reliability and trust. For us, safeguarding the interest of our investors is the uppermost concern. Therefore, our aim is to simplify the investment process by offering 360-degree view on financial planning that suit the goals and needs of our clients.
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