Hi,
I'm having 3 years of work experience as a compliance, secretarial and legal executive in stock broking company. Is there anyone who can help me to select the NOC code for my EE profile.
I'm having 3 years of work experience as a compliance, secretarial and legal executive in stock broking company. Is there anyone who can help me to select the NOC code for my EE profile.
- Compliance with respect to appointment of authorized persons.
- Drafting & submitting replies to Exchanges / CDSL for the investor grievances after analyzing the data.
- Amending existing policies as per the latest guidelines issued by the Exchanges and ensuring revised policies are uploaded /displayed on our website.
- Formulating new policies as per Exchange requirement.
- Handling compliance submissions.
- Disseminating / implementing circulars issued by the Exchange from time to time internally and to branches & ensure compliance.
- Liaison with Regulatory Authorities and Auditors of the Company.
- Preparing & maintaining board resolutions.
- Ensuring compliance on receipt of instruction / circulars from Exchanges / SEBI from time to time.
- Drafting of various replies, affidavits and responses as per the requirement of the case.
- Drafting and vetting of Service agreements, Leave and license agreements,MoU s etc.
- Keeping day to day track of litigation matters, gathering information such as case number, next date of hearing, etc. from the website of city civil court /H.C / S.C regularly & circulating the MIS of all matters to management.
- Appearing in courts as Authorised representative
- Coordinating with external advocates as & when required, discussing on the matters and obtaining legal opinion.