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| Job Location | Indore |
| Education | Not Mentioned |
| Salary | Not Disclosed |
| Industry | Education / Training |
| Functional Area | General / Other Software |
| EmploymentType | Full-time |
COMPLIANCE EXECUTIVE
Job Responsibility
1.Maintain and Updating the summary of General and Board Meeting and resolutions and resolutions passed thereon.
2.Interpretation of Statues and Provisions for going business actions.
3.Attending Investor Grievances on call.
4.Handling Exchange Observations/Inquiry w.r.t. trades done by clients and resolving them.
5.Assisting in Exchange Inspections (NSE/BSE).
6.Handled documentation for Availing PAN API facility from NSDL.
7.Documentation for Approval of Version Upgradation for CTCL, IBT EXE, IBT web and STWT with all four exchanges.
8.COMPLIANCE REPORTING, PROPER FILING OR DOCUMENTS, NISM /CPE REGISTRATION OF SUBBROKER/EMPLOYEES, CALL HANDLING, MAINTAINING RECORDS & Reports, VARIOUS SUB BROKERS QUERIES,CONVERSATION WITH EXCHANGES, DRAFTING LETTERS/MAILS, AP REGISTRATION ENABLEMENT ON CRM, AP Activation / Deactivation/ Cancellation, SUB BROKER CANCELLATION/RENEWAL, Research and Development etc.
Keyskills :
compliancecustomer relations exchangekyc legalresearch developmentboard meeting web tec