- Carry out Internal or compliance audit of Stock Brokers, DP, Portfolio Managers, Investment Advisors, Research Analysts, NBFC.
- Carry out registration of Portfolio Manager / Investment Advisor / AIF / Research Analyst, NBFC etc.
- Planning work or audits in advance (at least 7 days) and send email for requirement list to all allocated clients.
- Completing audit or work in time bound manner. Handling assignment independently, preparing report for partner's review along with discussion points.
- Reminding deadlines or due dates of statutory / compliances to clients in advance in format.
- Reading or keeping himself / herself updated with recent circulars of SEBI, Exchanges, DP, NBFC or such other developments in capital markets, RBI etc. and informing to partners as well as respective clients / staff for implementation of the same.
- Reporting Partners with issues or important observations found in audits or assignments or during audits preferably by email and in personal meeting on regular level.
- Client relationship and maintaining repo with clients / Directors / Compliance Officer / colleagues, senior, etc.
- Effective resource allocation and discuss or resolve the resource excess or shortage in timely manner.
- Developing or training juniors for work or audit assignment.
- Taking lead or presenting material in compliance awareness seminar or sessions.
- Observing Office timings, leave applications, voucher claim, time sheet, etc. in timely manner and other administrative matters.
- Timely billing and recovery of Professional fees.
Company Secretary - Mumbai, India - Talent Corner HR Services Pvt Ltd
Description
Job Description for Compliance Executive
Job Summary
It is a Chartered Accountants Firm based in Mumbai, located at Nariman Point. It is providing various services like Audit, Taxation, Compliance, Consultancy, Accounting, NBFC, Certification and other services to its clients.
The company is looking for Compliance Executive for carrying out Internal / Compliance Audit of Stock Brokers, Depository Participants, Portfolio Managers, Investment Advisors and Research Analysts, NBFC.
Compliance Executive should possess at least 1-2 years of experience in internal audit of any SEBI intermediary or has 1-2 years of experience in compliance department of Stock Brokers / Portfolio Managers/RIA/DP etc. Candidate should have sound working knowledge of Excel, Word and PPT.
Job Description for Compliance Executive
Salary - 4 to 7 lacs
Location - Mumbai, Nariman Point