Senior Executive / Deputy Manager - Compliance

National Commodity & Derivatives Exchange (NCDEX); Mumbai; On-site; INR 350,000 - 650,000; Full time

Job summary

National Commodity & Derivatives Exchange (NCDEX) in Mumbai is seeking a Compliance Support professional to assist the Compliance team with all compliance operations. The role focuses on SEBI correspondences, tracking, and maintaining member records, while supporting FIU guidelines dissemination and essential documentation.

The ideal candidate holds an LLB or MBA or equivalent and has up to 4 years of total experience, including 2 years in Investor Grievance or Customer Service.

Qualifications

• 0 to 4 years of total experience with relevant 2 years of experience in Investor Grievance / Customer Service Department

Responsibilities

• Managing Inward and outward SEBI correspondences
• SEBI communication tracking and escalation
• Maintain PO/DD list of members
• Monitoring FIU Alerts, disseminate FIU Guidelines to members as and when applicable
• Organize and manage PML compliances
• Administrative Support and assistance in high impacting Compliance initiatives
• Handling documentation of correspondence between Exchange and the SEBI
• Managing custody of agreements/undertaking
• Drafting Board Agendas
• Administrative Support and assistance to CCO

Skills

Good communication

Soft skills

MS Office proficiency

Education

LLB / MBA or similar degree

Tools

MS Word

Excel

PowerPoint

Job description

Job Purpose:

• To ensure support to Compliance team to handle for all matters relating to compliance operations.

Key Result Areas:

• 1.Managing Inward and outward SEBI correspondences
• 2. SEBI communication tracking and escalation
• 3. Maintain PO/DD list of members
• 4. Monitoring FIU Alerts, disseminate FIU Guidelines to members as and when applicable
• 5. Organize and manage PML compliances
• 6. Administrative Support and assistance in high impacting Compliance initiatives
• 7. Handling documentation of correspondence between Exchange and the SEBI
• 8. Managing custody of agreements/undertaking
• 9. Drafting Board Agendas
• 10. Administrative Support and assistance to CCO

Preferred Profile: -

Educational Qualification

• LLB / MBA or similar degree from a reputed University / Institute

Experience

• 0 to 4 years of total experience with relevant 2 years of experience in Investor Grievance / Customer Service Department

Skills Required

• Good communication skills (English/ Hindi)
• Soft Skills
• Computer knowledge (e.g. Microsoft suite MS Word, Excel, PowerPoint)

Functional Competencies required

• Drafting letters and other documents
• Knowledge and understanding of Exchange ecosystem and operations
• Understanding and interpreting provisions of law in the area of the work related to the Department
• Awareness of the developments in the area of arbitration laws and bye laws, rules and regulations