Compliance Manager - Delhi - InCred Money

    InCred Money
    InCred Money Delhi

    8 hours ago

    ₹800,000 - ₹2,200,000 (INR) per year * Accounting / Finance
    Description

    Department: Compliance

    Location: East Delhi

    Grade: Manager / Senior Manager

    Qualification: CS/CA/MBA having experience 4-5 years

    About InCred Money:

    InCred Money is reshaping India's financial ecosystem by building a holistic wealth platform that brings all major asset classes together—Unlisted Shares, Digital Gold, Equity Broking, and soon Mutual Funds & US Stocks. We are building a customer-first, data-driven investing experience for the next 100M Indian investors.

    Job Description/ Responsibility:

    • Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)
    • Prevention of Insider Trading compliance
    • Implementation of Circulars: Checking for new circulars. Preparing Gist of the same and circulating the same to the concerned departments.
    • Drafting and implementation of Policies – regulatory and governance perspective
    • Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines
    • Providing assistance to other department on Compliance related area and resolving queries raised by them.
    • Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them
    • Compliance health check up: Conducting reviews of various activities, forms, processes as per regulatory guidelines
    • PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis
    • Inspection of Branches
    • NISM Certification tracking
    • Communication with Exchanges, Depositories and SEBI
    • Investor grievances mechanism ensuring from Compliance
    • Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them
    • Submission of Periodical returns.
    • Identify improvement areas and opportunities for automation
    • Periodical submission
    • Tracking and updating seniors about the Compliances aspects
    * This salary range is an estimation made by beBee
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