Assistant Manager STOCK Broking Compliance

Talent Corner Hr Services; Mumbai Suburban; Vor Ort; INR 600.000 - 900.000; Vollzeit

Zusammenfassung

Talent Corner Hr Services is seeking a Compliance Analyst to oversee regulatory compliance with SEBI, NSE, BSE and related bodies in Mumbai. The role focuses on funds and margin reporting, audits, and liaison with operations and risk teams.

You will monitor circulars, prepare MIS, and handle inspections and regulatory reviews. Prior knowledge of research analyst regulations is a plus.

Qualifikationen

• Familiarity with SEBI, NSE, BSE regulations and compliance requirements.
• Experience in preparing MIS and regulatory reports.
• Knowledge of exchange inspections, audits and regulatory reviews.

Aufgaben

• Ensure compliance with SEBI, NSE, BSE and other applicable regulatory requirements.
• Manage daily client funds and securities segregation and related reporting.
• Prepare and monitor daily margin reporting, including reconciliation and submission to Exchanges.
• Monitor client-level funds, securities and margin requirements and identify discrepancies.
• Handle NSE/BSE observations, queries and correspondence, including preparation of responses and ensuring timely closure.
• Maintain records of regulatory submissions, correspondence and compliance documentation.
• Track SEBI/Exchange circulars and regulatory changes and assess their applicability.
• Coordinate with Operations, Risk, RMS, Accounts and Broking teams for timely compliance.
• Assist with Exchange inspections, audits and regulatory reviews.
• Prepare periodic compliance MIS and reports for senior management.
• RA regulatory and ongoing compliance requirements.
• Compliance relating to research reports, recommendations and disclosures.
• Conflict-of-interest and code-of-conduct requirements.
• RA audits, records and regulatory submissions.

Kenntnisse

SEBI/NSE/BSE regulations

Regulatory reporting

Compliance monitoring

Audit readiness

Jobbeschreibung

Role & responsibilities

• Ensure compliance with SEBI, NSE, BSE and other applicable regulatory
  requirements.
  
• Manage daily client funds and securities segregation and related reporting.
  
• Prepare and monitor daily margin reporting, including reconciliation and submission to Exchanges.
  
• Monitor client-level funds, securities and margin requirements and identify discrepancies.
  
• Handle NSE/BSE observations, queries and correspondence, including preparation of responses and ensuring timely closure.
  
• Maintain records of regulatory submissions, correspondence and compliance documentation.
  
• Track SEBI/Exchange circulars and regulatory changes and assess their applicability.
  
• Coordinate with Operations, Risk, RMS, Accounts and Broking teams for timely
  compliance.
  
• Assist with Exchange inspections, audits and regulatory reviews.
  
• Prepare periodic compliance MIS and reports for senior management
  

Preferred Research Analyst Compliance

Knowledge of SEBI Research Analyst Regulations will be an added advantage, including:

• RA regulatory and ongoing compliance requirements.
  
• Compliance relating to research reports, recommendations and disclosures.
  
• Conflict-of-interest and code-of-conduct requirements.
  
• RA audits, records and regulatory submissions.