Compliance Officer

3.00 to 8.00 Years Delhi 01 May, 2023

Job Location	Delhi
Education	Not Mentioned
Salary	Rs 3.0 - 7 Lakh/Yr
Industry	Banking / Financial Services
Functional Area	Securities TradingRisk / Underwriting
EmploymentType	Full-time

Job Description

Profile -Compliance Officer Salary - 3 to 7LPAExperience - 3 to 7 YearsQualification - B.com/M.com/MBA in FinanceLocation - Daryaganj, DelhiWorking days - 5 daysNote - Candidate must have experience from broking firm.The candidate should have good understanding of securities market industry, risk management, knowledge of regulations, legal framework and regulatory expectations.Exchanges and Depositories Compliances:1. Submission of Daily Segregation report to exchanges2. Submission of Daily Bank reports to exchanges3. Submission of Weekly Enhance Supervision Report to exchanges4. Submission Cash reporting on weekly basis to exchanges5. Reporting of clients under AP to Exchange6. Monthly reporting of Investor grievances to NSE and CDSL7. Qtrly reporting of cyber security threat to Exchanges and Depositories8. Qtrl reporting of Artificial inteligence and Machine learning to Exchanges and Depositories9. Qtrl reporting of Surveillance Alerts to Exchanges and Depositories10. Qtrl reporting of AP inspection done by Member11. Submission of Half yearly (Calendar Year Basis) compliance certificate to CDSL12. Submission of Half yearly Internal Audit reports to Exchanges and CDSL13. Submission of Half yearly Risk Based supervision to All exchanges14. Submission of Half yearly Net worth Certificate to All exchanges15. Submission of Half yearly System Audit Report exchanges16. Submission of Half yearly CDSL Risk Assessment Template17. Submission of Annual and Half yearly Cyber Audit Report All exchanges and DP18. Submission of Annual proof of Insurance cover to All exchanges19. Submission of Annual Returns to All exchanges & CDSL20. Annually Inspection of AP and BranchesThe Candidate shall be required to pass the below exam within a year from date of Joining. 1.NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund) Certification Examination.2.NISM-Series VI: Depository Operations Ceritification Examniation for DP Operations.Interested candidate can contact us on hidden_mobile or Email at - hidden_email

Keyskills :
compliance officernism-series-iiilegal frameworknism-series vi

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Compliance Officer

Job Description

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