Compliance Manager

Investmentor Securities Limited

Participating in the planning, executing and reporting of compliance assurance reviews an compliance and regulatory issue validation activities for a component of policy line & function

Managing Inspections carried out by Exchanges, Depositories and SEBI

Managing internal audits of Depositories and Exchanges

Submission of Internal & System Audit Report & assisting in conducting the Audit (NSE, BSE& NSDL)

Interpreting and sending Exchange & SEBI circulars, Implementation of the circulars

Seeking regulatory approvals for Advertisements and any other changes as proposed by Management etc

KYC Compliance and monitoring of compliance functions

Preparation, submission, and uploading Annual return & Compliance to the exchanges.

Timely updating Policies and procedures in line with Exchange guidelines

Evaluating new regulatory guidelines and implementation

Submission of Enhanced supervision data and other Exchange reportings on a timely manner As follows:

Submission of Bank Account wise Balances for all bank accounts on weekly basis

Submission of details for Cash and Cash Equivalents on weekly basis

Submission of Holding Statement on weekly basis

Submission of the data for monitoring of Clients Funds lying with Member on weekly basis

Submission of 1% holding to the Exchange

Submission of Internal Risk Assessment

Submission of Yearly & Half Yearly Net-worth Certificate

Submission of Net-worth Certificate for Margin Trading

Submission of Risk Based Supervision (RBS) data

Submission of Quarterly Compliance Certificate

Submission of Annual Accounts to the Exchanges

Submission of Cyber Security & Cyber Resilience Audit and assisting in conducting the Audit

Experience : 1 - 7 Years

No. of Openings : 1

Education : Any Bachelor Degree

Role : Compliance Manager

Industry Type : Banking / Financial Services / Stock Broking

Gender : [ Male / Female ]

Job Country : India