Compliance Officer @ Citibank

Job Description

Profile -Compliance Officer

Salary - 3 to 7LPA

Experience - 3 to 7 Years

Qualification - B.com/M.com/MBA in Finance

Location - Daryaganj, Delhi

Working days - 5 days

Note - Candidate must have experience from broking firm.

The candidate should have good understanding of securities market industry, risk management, knowledge of regulations, legal framework and regulatory expectations.

Exchanges and Depositories Compliances:
1. Submission of Daily Segregation report to exchanges
2. Submission of Daily Bank reports to exchanges
3. Submission of Weekly Enhance Supervision Report to exchanges
4. Submission Cash reporting on weekly basis to exchanges
5. Reporting of clients under AP to Exchange
6. Monthly reporting of Investor grievances to NSE and CDSL
7. Qtrly reporting of cyber security threat to Exchanges and Depositories
8. Qtrl reporting of Artificial inteligence and Machine learning to Exchanges and Depositories
9. Qtrl reporting of Surveillance Alerts to Exchanges and Depositories
10. Qtrl reporting of AP inspection done by Member
11. Submission of Half yearly (Calendar Year Basis) compliance certificate to CDSL
12. Submission of Half yearly Internal Audit reports to Exchanges and CDSL
13. Submission of Half yearly Risk Based supervision to All exchanges
14. Submission of Half yearly Net worth Certificate to All exchanges
15. Submission of Half yearly System Audit Report exchanges
16. Submission of Half yearly CDSL Risk Assessment Template
17. Submission of Annual and Half yearly Cyber Audit Report All exchanges and DP
18. Submission of Annual proof of Insurance cover to All exchanges
19. Submission of Annual Returns to All exchanges & CDSL
20. Annually Inspection of AP and Branches

The Candidate shall be required to pass the below exam within a year from date of Joining.
1.NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund) Certification Examination.
2.NISM-Series VI: Depository Operations Ceritification Examniation for DP Operations.

Interested candidate can contact us on hidden_mobile or Email at - hidden_email

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Rs 0 - 50K PM Rs 50K - 1 LPA Rs 1.0 - 1.5 LPA Rs 1.5 - 2.0 LPA Rs 2.0 - 2.5 LPA Rs 2.5 - 3.0 LPA Rs 3.0 - 3.5 LPA Rs 3.5 - 4.0 LPA Rs 4.0 - 4.5 LPA Rs 4.5 - 5.0 LPA Rs 5 - 6 LPA Rs 6 - 7 LPA Rs 7 - 8 LPA Rs 8 - 9 LPA Rs 9 - 10 LPA Rs 10 - 12 LPA Rs 12 - 14 LPA Rs 14 - 16 LPA Rs 16 - 18 LPA Rs 18 - 20 LPA Rs 20 - 22 LPA Rs 22 - 24 LPA Rs 24 - 26 LPA Rs 26 - 28 LPA Rs 28 - 30 LPA Rs 30 - 32 LPA Rs 32 - 34 LPA Rs 34 - 36 LPA Rs 36 - 38 LPA Rs 38 - 40 LPA Rs 40 - 42 LPA Rs 42 - 44 LPA Rs 44 - 46 LPA Rs 46 - 48 LPA Rs 48 - 50 LPA Rs 50 - 75 LPA Rs 75 Lakh - 1C PA Rs 1 Crore+ PA

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Keyskills:   compliance officer nism-series-iii legal framework nism-series vi cdsl risk assessment