Compliance

Compliance

1 Nos.
72725
Full Time
5.0 Year(s) To 8.0 Year(s)
10.00 LPA TO 15.00 LPA
Broking/Trading
Job Description:
  • Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.
  • Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.
  • Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections
  • Handling Regulatory Inspections & Internal Audit Independently
  • Liaison with Regulators
  • Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.
  • Preparing various reports & MIS for Senior Management & Board of Directors

 

Key Skills :
Company Profile

The Company currently has in its fold a wide segment of clients including Banks, Financial Institutions, FIIs, Mutual Funds, Corporate, High Net worth Individuals, Non-Resident Indians and Retail domestic investors. Its broking product range covers Institutional and Retail Equity, Derivatives, Depository Participant services, On-Line trading and a wide variety of Third Party Distribution products.

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  • Interested candidates are requested to apply for this job.
  • Recruiters will evaluate your candidature and will get in touch with you.

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