Designation: Compliance Officer

Location: Indore

Qualification:- Post Graduate/ Graduate  in Commerce, LLB,CS, CFA

Salary: - 20-25k

Key Responsibilities:
 

�         Risk based supervision report as per SEBI / Exchange / CDSL regulations

�         Resolving investor grievance related queries of the exchange

�         Compliance of all listing formalities with BSE and SEBI.

�         Maintain all statutory records like minutes-statutory registers- policies etc.

�         Conduct all statutory meetings stipulated during the year.

�         Legal matters to be attended as and when required.

�         To handle the complete Authorized Person registration process in all exchanges.

�          To prepare various pages & documents required for Authorized Person registrar.

�          Coordinating with branches regarding all Authorized Person registration process.

�          To co-ordinate with all exchanges regarding Authorized Person registration & cancellation processes.

�         Coordinate with Head office for process related to Authorized Person registration.

�          To remain updated about all the compliance requirements for Authorized Person registration of individual partnership firms & corporate.

�          Maintain proper communication with all the branches regarding proper compliance & related requirements.

Managing & supervising compliance related to all Authorized Person