11 Oct
Estabizz Fintech Private
Surat
Job Description
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> Handling all Compliances related to SEBI and various Exchanges in Cash, F&O;, Currency and Commodity Segments
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> Adhering into Compliance calendar of all Exchanges in all segments
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> Responsive & Written Correspondence with SEBI & various Exchanges
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> Preparation of MIS reports
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> Filing, drafting replies of matter related to arbitration, SEBI and all exchanges.
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> Handling IGRC matters with BSE and NSE and resolving client complaints
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> Coordinating with legal counsels and advisors
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> Handling compliances related to PMS , DP & Broker
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> 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
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> Reading Circulars and amendments
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> taking care of Internal Audit
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> Taking care of AP and Audit part
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> MOM Drafting and updating to the concern
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> Educational Qualifications:
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> Candidate should be a graduate. He / She may have a degree of LLB / LLM (corporate & securities law) / Company Secretary.
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> Required Skills:
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> Well versed with handling of all Compliance & Legalities
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> Tech savvy & systems oriented
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> Good spoken and written English
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> Convincing Abilities
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> Candidate would be required to liaise closely with business & support groups mainly, Settlement-DP, Client Account, Marketing, Branches, Sub-brokers & all the associates.
▶️ Compliance Executive intern
🖊️ Estabizz Fintech Private
📍 Surat