Experience
2 - 4 yrs
Job Location
Mumbai, India
Vacancy
1
Designation
Compliance Executive
Job Type
Not specified
Job Description
- Handling regulatory compliance of BSE, NSE and SEBI regulations for Comfort Securities Limited and Comfort Commotrade Limited
- 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
- Gathering and analyzing data, performing computations, and preparing work
- Researched, interpreted with laws and regulations
- 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
- Provide data to exchange as and when required
- Maintained and reviewed all contracts and agreements to ensure all policies and procedures were fully followed
- Review of various policies of the organization
- Organize and facilitate monthly, Quarterly, Yearly compliance review board meeting, attended by Chief Executive Officer, Chief Financial Officer, and executive of company
- Directly reported to the Chief Executive officer to ensure company objective are meet and executed goals
- Co ordinating and follow up with exchange regarding quires
- Ensure regulatory compliance with Companies Act, 2013 for Comfort Securities Limited and Comfort Commotrade Limited
- Taking vendor approval from Exchanges
- Submission or registration of any other membership related activities
- Replies to Letter of observation and Drafting compliance report of Concurrent audit report
- Closing alerts of Exchanges as well as CDSL
- Daily Sending and implementing circulars of SEBI, Exchanges, Depositories
- Making representation to Regulators
- Making submissions of various regulatory reporting to Regulators
- Handling Inspection/Internal Audits/System Audit/Cyber audit
- Research regulations related compliance
- Handling Sebi/Exchange investigations
- Replying to Surveillance related mails from Regulators
- Reply to Observation letters/show cause notices
- Handling Stock Exchanges compliance
- Drafting Appeal
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