Analyst - Compliance & Legal - BFS

Analyst - Compliance & Legal (Temporary for 12 months & Contract would be renewed after that) in the Compliance & Legal Team based out of Mumbai

Job Responsibilities:

Overall assistance to team in various compliance monitoring activities, including but not limited to trade surveillance.

- Independent handling of all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basis, as a Stock Broker, Merchant Banker and Research Analyst.

- Preparation of application to exchanges / SEBI in case of change in Directorships/Shareholding of the Company etc.

- Ensuring that new joiners have completed all the relevant compliance declarations and follow-up.

- Meeting the broker empanelment renewal requirement of existing clients as well as new clients

- Reminding the relevant staff to renew their regulatory licenses on timely basis

- Assist in formulating and implementing compliance policies and plan.

- Ensuring relevant files are uploaded in the personal trading system and otherwise monitoring its efficacy

- Assisting in KYC and KYC Review of clients

Educational / Professional Qualifications

- CS/LL.B/CA/ICWA or any other equivalent professional qualification