Compliance Executive intern

Estabizz Fintech Private Limited

Job Description

Handling all Compliances related to SEBI and various Exchanges in Cash, F&O, Currency and Commodity Segments

Adhering into Compliance calendar of all Exchanges in all segments

Responsive & Written Correspondence with SEBI & various Exchanges

Preparation of MIS reports

Filing, drafting replies of matter related to arbitration, SEBI and all exchanges.

Handling IGRC matters with BSE and NSE and resolving client complaints

Coordinating with legal counsels and advisors

Handling compliances related to PMS , DP & Broker

Taking care of timely Reporting related to Exchange . Checking the data of reporting through different aspects and identify the problems in the data part of reporting

Reading Circulars and amendments

taking care of Internal Audit

Taking care of AP and Audit part

MOM Drafting and updating to the concern

Educational Qualifications:

Candidate should be a graduate. He / She may have a degree of LLB / LLM (corporate & securities law) / Company Secretary.

Required Skills:

Well versed with handling of all Compliance & Legalities

Tech savvy & systems oriented

Good spoken and written English

Convincing Abilities

Candidate would be required to liaise closely with business & support groups mainly, Settlement-DP, Client Account, Marketing, Branches, Sub-brokers & all the associates.

Experience : 0 - 1 Years

No. of Openings : 3

Education : LLB, LLM

Role : Compliance Executive intern

Industry Type : Recruitment Consulting / Staffing Services

Gender : [ Male / Female ]

Job Country : India