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COMPLIANCE EXECUTIVE Jobs in Mumbai,Navi Mumbai - LATIN MANHARLAL SECURITIES PVT LTD

COMPLIANCE EXECUTIVE

LATIN MANHARLAL SECURITIES PVT LTD
experience-icon 0 Years
salary-icon Not disclosed
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
Locality Address Khar
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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