Details of the Organization

Plus Wealth Capital Management LLP is a proprietary quantitative high frequency trading firm established in 2008 and has grown from a small group of 5 individuals to a firm of over 60 professionals working as equity researchers, quantitative analysts, traders and technologists.

Details of the Job/Internship

Plus Wealth Capital Management LLP is hiring for the position of compliance manager to join their Noida office. 

Role and Responsibilities

• Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3).
• Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants.
• Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF).
• Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis
• Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc.
• Reviewing E-mail boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities.
• Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis.
• In addition to the above roles and responsibilities, the person will also overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments.

Salary/Stipend

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

Type of Opportunity

Fulltime

Country

India

State

Uttar Pradesh

City

Noida

Address

Noida Sector 16B, Office Number 6A, Max Towers, Sector 16B, Noida, Uttar Pradesh 201301, 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].