Semi Qualified CA (Only Male)

at Stock Broking Pvt Ltd as Other
  • Location:

  • Salary:

    ₹240000/yr - ₹360000/yr
  • Experience

    1 - 3 years
  • Posted:

    09 Jan, 2020

Company overview

One of the top companies 

Job Description

Monthly Compliance:-

By 3rd of next month fund reporting to be submitted to BSE, NSE & MCX.

By 7th of next month client fund & securities report to be submitted to BSE, NSE (all segments) & MCX.

DP Audit – CDSL

Concurrent audit

Periodical SB’s Inspection.

AP & Branch

AP registration

AP Inspection, branch inspection.

Maintain compliance policies like PMLA & other requirements.

Half yearly internal audit

Half yearly network submission jointly with Mr. Vijendra Cholera

RBS reporting to NSE BSE (Half yearly)

Limit setting (quantity base) within next 15th of following quarter.

Annual reports to be submitted to

Total compliance of advisory service.

Liasoning with internal Auditor, advisory auditor, NSE, BSE, MCX(DSL & Exchange People)

Day to Day Compliances & Operations of NSE, BSE, MCX, CDSL.

Submit an application for any changes in control, shareholding pattern, Directors and informed to the exchanges for compliance.

Conduction & Submission of Internal Audit Report (IAR) in NSE/BSE/MCX periodically

Conduction & Submission of Net-worth Certificate to respective exchanges periodically.

Submission of System Audit Report (SAR) in NSE, BSE, MCX-SX.

Submission of Annual Returns of NSE, BSE, MCX & CDSL in respective exchanges with hard format.

Bulk Deal execution & Reporting to NSCCL.

Activation of NEAT / TWS /CTCL / IBT in NSE, BSE, MCX.

Submission of SSL certificate for IBT Services.

Client Margin/funding calculation & reporting to Exchanges.

Submissions of proof of Insurance cover annually to exchanges.

To check personnel for submission of Client details for Margin trading before trade date.

Managed Pay-In & Pay-Out of Securities in CM Segment.

Managed & instruct F&O & Currency Client margin reporting to NSCCL on daily basis.

Client Code Modification through NSCCL –NCMS.

CDSL DP process, operations done by official on regular basis.

Intimation to exchange if any change in constituent within prescribed time limit.

Manage changes in KYC format/documentation, registration & uploading process to the exchanges.

Back office Accounting & DP Operations (Back Office Software:- LD, Tech Excel) on regular basis for CM, F&O, CDS, MF &  CDSL.

Regular checking of trade execute in Equities, Derivatives, Currency. 

Conduction & Submission of Annual Compliance Report (ACR) in MCX-SX.

Manage & Instruct IT people for installation & configuring of NSE TAP Server, NEAT, TWS, NOW & Odin.

Handling of Investor Grievances & resolving issues within pre- defined deadline.

Monitoring, Processing and handling of settlements for NSE, BSE, MCX-SX, USEIL.

Directly responsible for Retail Stock Broking, Wealth Management, Risk Management and Market Analyst.

Engaged in overall supervision of Head office Operation of securities/demat of the member.





  • Financial Statements
  • Asset Management
  • Regulatory Filings
  • Detail Oriented
  • Financial Forecasting
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