Compliance
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.