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Compliance Associate

1.00 to 4.00 Years   Mumbai City   19 Apr, 2020
Interactive Brokers
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryEducation / Training
Functional AreaSales / BDFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

Responsibilities

  • Managing all compliance pertaining to SEBI, NSE, BSE, NSDL etc.
  • Reviewing client documents for account approvals and inquiries.
  • Obtaining mandatory documents and reports as per KYC requirements
  • Perform necessary checks on clients (3rd parties and regulatory website etc.)
  • Investigating factual and regulatory rule background behind client trading and financial activity
  • Creating, reviewing and following up on surveillance reports of financial and trading activity
  • Creating and submitting STRs.
  • Assisting with Anti-Money Laundering Program
  • Updating policies and procedures and verifying implementation.
  • Interacting with various departments within the organization to meet deadlines.
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Keyskills :
compliance compliancereporting filing fundaccounting gst antimoneylaundering followingup riskmanagement technologyrisk kyc nse risk forex checks finance trading approvals management investment ntimoneylaundering

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