Compliance Executive

Location :	Mumbai
Education :	Any Graduates
Experience :	2 to 4 Years
Salary Annual :	As per industry norms
Industry Type :	BFSI

Keyskill

- Experience in handling complaints Compliances related to AMFI and attained IGRP.
- Experience in Compliances of Investment Adviser.
- Registration of SEBI as an Investment Adviser.

Functions

Regulatory, Legal, and Internal Guidelines

Job Description

- Assisting  with regulatory compliance for the BSE, NSE, and SEBI

- Submission of Internal audit and Concurrent and advise the company regarding compliance audit report to CDSL

- Updating of Dealers NISM certificate before expiry in All Exchanges

- Handling Inspection of SEBI, Exchanges, and Depositories and drafting compliance report.

- Registration and cancellation of Authorized person in NSE, BSE and MCX and providing letters for approval of registration and cancellation of Authorized person once registered or cancel with exchange.

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