Details of the Organization

Raise Financial Services is a financial services based company.

Details of the Job/Internship

Raise Financial Services is looking for a candidate for the position of Associate / Senior Associate with 3 to 4 years of experience to join them at their office in Mumbai.

Role and Responsibilities

• Prepare and submit monthly, quarterly, half-yearly, and annual regulatory filings to Exchanges and Depositories.
• Ensure timely and accurate handling of all day-to-day regulatory compliance activities.
• Submit event-based reports, including those related to technical glitches, cyber incidents, impersonation cases, changes in shareholding, changes in directors, and other applicable events, to the respective regulatory authorities.
• Implement circulars and notifications issued by regulatory authorities (NSE, BSE, CDSL, SEBI) and ensure adherence to the prescribed guidelines.
• Maintain a comprehensive MIS to track action points and monitor compliance with the applicable circulars and notifications.
• Manage and coordinate regulatory inspections, including exchange-mandated internal audits, depository-mandated concurrent and internal audits, and various other internal compliance audits.
• Act as a liaison with exchanges, depositories, and SEBI for resolving compliance-related issues.
• Handle investor grievances received directly from exchanges or depositories by drafting and submitting responses in a timely manner.
• Follow up with exchanges and depositories to ensure the swift resolution and closure of complaints.
• Manage conciliation and arbitration cases effectively, ensuring compliance with regulatory requirements and timely resolution.
• Oversee compliance with advertisement regulations, ensuring all promotional materials adhere to applicable guidelines.
• Review and assess the trading of employees and ensure its compliance with the Insider Trading Policy
• Create, modify, and deactivate NEAT/CTCL/User IDs and maintain MIS for all changes.
• Draft and review legal agreements to ensure compliance with regulatory and operational standards.
• Manage and coordinate thematic inspections conducted by exchanges and SEBI, ensuring thorough preparation and adherence to requirements.

Eligibility

• Familiarity with circulars, notifications, and regulations issued by bodies like NSE, BSE, SEBI, and CDSL
• Minimum of 3-4 years of experience in handling investor grievances
• Proficiency in regulatory compliance, MIS (Management Information System) tools to track submissions, reports, and action items.
• Familiarity with Trading Terminal management systems (e.g., NEAT/CTCL) for managing trading systems.
• Understanding of legal documentation and the ability to draft and review contracts and agreements.
• Strong knowledge of financial instruments, market regulations, and securities laws.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Maharashtra

City

Mumbai

Address

Mumbai, Maharashtra 400001, IN

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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For any questions or concerns, please contact us via email at: [email protected]