Senior Executive / Deputy Manager - Compliance

Job Purpose:

• To ensure support to Compliance team to handle for all matters relating to compliance operations.

Key Result Areas:

1.Managing Inward and outward SEBI correspondences

2. SEBI communication tracking and escalation

3. Maintain PO/DD list of members

4. Monitoring FIU Alerts, disseminate FIU Guidelines to members as and when applicable

5. Organize and manage PML compliances

6. Administrative Support and assistance in high impacting Compliance initiatives

7. Handling documentation of correspondence between Exchange and the SEBI

8. Managing custody of agreements/undertaking

9. Drafting Board Agendas

10. Administrative Support and assistance to CCO

Preferred Profile: -

Educational Qualification

• LLB / MBA  or similar degree from a reputed University / Institute

Experience

• 0 to 4 years of  total experience with relevant 2 years of experience in Investor Grievance / Customer Service Department

Skills Required

• Good communication skills (English/ Hindi)
• Soft Skills
• Computer knowledge (e.g.  Microsoft suite MS Word, Excel, PowerPoint)

Functional Competencies required

• Drafting letters and other documents
• Knowledge and understanding of Exchange ecosystem and operations
• Understanding and interpreting provisions of law in the area of the work related to the Department
• Awareness of the developments in the area of arbitration laws and bye laws, rules and regulations