Compliance Executive

Job Description

Job Responsibility: Branch Compliance Person 1. BranchCompliance Person will be appointed in each branch and will look after internalcompliance related to order placement of his branch and will report to Headoffice Compliance Dept.2. Hewill check and ensure that all orders placed from the branch is on recordedlines and proper script is being followed while placing orders.3. Hewill send daily report of recordings checked by him and if recordings could befound of any order, he will ask for clarification from the concerned RM and hisTL and report the discrepancy to the Head Office Compliance Dept.4. Hewill keep records and proof of these order placement in the form ofrecordings/signed trade logs(in case of walk-in clients)/orders placed throughmobile etc. and will provide these tohead Office Compliance Dept. whenever required.5. Hewill be trained periodically regarding checking process and software will beprovided to him for matching orders with recording system. He will ensure thatdealers/RMs are entering codes in the software while placing orders.6. Hewill also train branch sales people regarding proper order placement and othercompliances as prescribed by Exchanges time to time.7. Someadditional responsibility may also be given to him if required. Desired Competencies :Minimum 2 years experience as a Dealer Excellent communication skills Excellent objection handling and conflict management skills NISM Certified Mandatory ,

Keyskills :
compliancecustomer relationsexchangekyclegalcash flowback officefixed incomebranch salescapital marketCompliance Executive