Compliance Executive

Kunvarji Group

0 to 2 yrs. Ahmedabad
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Posted on 03 May 2018

Job Description

Report filling with Exchanges
Co-ordination with Internal Auditor, Inspection Team, Exchanges
Communication with Exchanges for queries, report, etc…
Reviewing Transactions Alerts generated from Internal backoffice, Recording it and its disposal
Maintenance of data and records
Monitoring Exchange circulars and to ensure compliance thereof
Monitoring Exchange PMLA surveillance alerts and dealing with them accordance with instructions including filing STR
Collating data for submission of reply to Exchanges/Regulator for inspection findings and other show cause notices or penalty proceedings
Assist Compliance Head in meeting various regulatory compliances required by SEBI, FMC, Exchanges, and Depository on routine basis and instance based.
Assisting head legal in various compliance related activities including preparation of registration application with regulators


Job Posted by

Pankaj Adhav Associate Vice President HR Kunvarji Finstock Private Limited Mumbai


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