Deputy Manager-Membership

Department Icon Risk Management & Compliance
Posted: 1 year ago
3-7 years
Maharashtra
Risk Management & Compliance
Work from Office
Full Time

Posted: 1 year ago
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Posted over 15 days ago, so the role may have closed. Confirm on the employer's page when you apply, or see similar jobs.

Job Description

    As a Membership Compliance Officer at the Exchange, your role involves performing activities related to membership compliance and supporting the team in achieving a no-error work environment. Your key responsibilities include:

    • Scrutinizing and processing applications for changes in directors as per Exchange/SEBI norms
    • Screening all applications related to changes in director details, shareholding/DPG, directors, and transfer of membership
    • Maintaining records, updating control sheets, and following up with members via mail and phone calls
    • Scrutinizing and processing shareholding/DPG pattern constitution/re-constitution of partnership firms
    • Keeping records updated in control sheets and following up with members via mail and phone calls
    • Scrutinizing and processing applications for changes in the name of member entities and member office addresses
    • Updating SEBI Portal as per norms and processing applications error-free within the prescribed TAT
    • Updating member names and addresses in CRM database and coordinating with other departments
    • Closing alerts in Trackwizz application, maintaining monthly databases, and collating data for SEBI/Internal departments

    Preferred Profile:

    • Educational Qualification: CS/CA/MBA from a reputed Institute/University
    • Experience: 3-4 years in securities/capital market, financial services, mutual funds, or insurance companies
    • Skills Required: Proactive, result-oriented, analytical, detail-oriented, good execution skills, strong communications skills, ability to share learning and best practices, satisfying company and national regulatory standards

    - Functional Competencies required: Proficiency in MS Office, with good Excel skills preferred.,

Skills

CaStrong Communications SkillsGood Execution SkillsAnalytical AbilityProactiveMS Office

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