Overview
Compliance Operations Jobs in Colāba, Maharashtra, India at GEPL Capital
Location: Colāba
Key Responsibilities
1. Compliance Management:
o File submissions to exchanges with all necessary documentation.
o Regular updates and uploads for Authorized Person files.
2. Client Asset Monitoring:
o Segregation and monitoring of client collateral.
o Cash and cash equivalent supervision.
3. Reconciliation & Reporting:
o Weekly, quarterly, and annual compliance submissions.
o Bank and holding statement reconciliation.
4. Audit & Inspection:
o Managing internal/external audits and SEBI inspections.
o Reviewing logs, audit trails, and inter-departmental audits.
5. Policy Implementation:
o Reviewing and aligning with exchange and SEBI norms.
6. Analysis &
Risk Management:
o Analyzing UCC, billing, accounts, and other exchange requirements.
Qualification s
Education:
B.Com with 2+ years of relevant experience.
Skills:
Proficiency in MS Excel and Word.
Strong
communication
and analytical abilities.
Experience handling audits and inspections is a must
Why Join Us?
Work in a
dynamic
and
innovative
environment.
Gain exposure to industry best practices and regulations.
Be part of a
supportive team
focused on growth and development.
Title: Compliance Operations
Company: GEPL Capital
Location: Colāba, Maharashtra, India
Category: Finance & Banking, Quality Assurance – QA/QC
