Compliance Officer Jobs Opening in Tradebulls Securities at Bodakdev, Bopal, Thaltej, Ahmedabad
Job Description
v Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc
v Manage all operational processes as per regulatory framework to ensure exchange compliance.
v Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories
v Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
v Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act,SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
v Assisting in handling Investor Grievances as per regulatory guidelines.
v Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.
v Liaising with Exchanges, Depositories for routine matters
v Ensure process-oriented, TAT-driven process as per defined SOP.
v Mentor and monitor team to ensure high level of accuracy and timely execution.
v Handling regulatory audits of SEBI, Exchanges, etc.
v Any other compliance matters as assigned from time to time.
More information about this Compliance Officer Job
Please go through the below FAQs to get all answers related to the given Compliance Officer job
- What are the job requirements to apply for this Compliance Officer job position?
- Ans: A candidate must have a minimum of 1 to 3+ year experience as an Compliance Officer
- What is the qualification for this job?
- Ans: The candidate can be a Graduate from any of the following: CA, CS
- What is the hiring Process of this job?
- Ans: The hiring process all depends on the company. Normally for an entry level, hiring the candidate has to go for Aptitude, GD (If they look for communication),Technical test and face to face interviews.
- This Compliance Officer is a work from home job?
- Ans: No ,its not a Work from Home Job.
- How many job vacancies are opening for the Compliance Officer position?
- Ans: There are immediate 1 job openings for Compliance Officer in our Organisation.
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