Complaince

Key Responsibilities

• Interfacing with Exchange officials to understand and fulfil compliance requirements for the firm.
• Liaising with vendors for supporting the IT/Audit/Accounting operations of the branch.
• Working with senior management and other team members to handle the operations of the branch.
• Assisting in drafting applications and other documentation required for day to day running of the business.
• Assisting vendors and other team members with audit, inspection and other compliance related requirements.

Qualification Criteria

Skills and Experience

• Experience with financial market software's like NEAT, BOLT, EKoole, MS office and other back office of financial market operations is desirable
• Must be detail oriented and a strong communicator.
• Should be a team player with a great attitude and work ethic with an ability to multi-task on several different assignments/projects and work under pressure.
• Certifications from NISM IIIA : Securities Intermediaries Compliance, NISM series VIII: Equity Derivative Certification Examination , NCFM : Capital market dealers module is desirable.