Inspections and Investigation
1)Handle queries / investigation undertaken by stock exchanges, SEBI
and initiate action against the queries.
2)Responsible for various periodical submissions to SEBI, Exchanges and
Depositories.
3)Attend audit & inspections queries carried out by various authorities prior and
post inspection work.
4)Ensure proper management of the various compliance related activities so as
to avoid non-compliance and penalties.
Redressal of Investor Complaints
Filing Arbitration and IGRC matters.
CTCL Terminal Mapping
Surveillance: Trading Alerts
AP Inspections and Submissions
KYC Compliance
Experience
2 - 8 Years
No. of Openings
1
Education
Graduate
Role
Compliance Executive
Industry Type
Banking
Gender
[ Male / Female ]
Job Country
India
Type of Job
Full Time
Work Location Type
Work from Office