51 Job openings found

Responsibilities will include: Review VKYC/KYC information obtained by the checker team for completeness and accuracy in line with regulators requirements Performing 6-eye checks on collected KYC information and ensuring accuracy in our systems Identify red flag situations and escalate in line with policy and procedures Conduct root cause analysis by identifying & analysing areas ...

Responsibilities: The candidate will be required to lead the Compliance team of ViewTrade covering Stock Broking business. Maintain oversight of the developments in the Stock Broking regulatory environment to proactively manage the potential regulatory risk/aml risk/kyc risk /ops risk / exposure of affected divisions/departments. Develop and maintain all relevant Policies and Procedures ...

Role Responsibilities:  Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.  Prepare and submit periodic reports to regulatory authorities and exchanges.  Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.  Monitor trading activities to identify and report unusual or non-compliant ...

Job Description for Client Services Officer - Chennai Key Responsibilities: Acceptance and scrutiny of financial and non-financial transaction over the counter. Addressing queries of walk-in investors and distributors. Time-stamping applications and ensuring necessary system entries and dispatch to RTA local branch Coordinate with RTA branches which are part of the corresponding Zone and with ...

Trade Execution: Execute buy and sell orders for equity securities on behalf of clients in a timely and accurate manner using trading platforms. Client Management: Develop and maintain strong relationships with clients, understanding their investment objectives, risk tolerance, and preferences. Portfolio Management: Monitor clients' portfolios, analyze market trends, and recommend investment strategies ...

Job Description for Client Services Officer - Chennai Key Responsibilities: Acceptance and scrutiny of financial and non-financial transaction over the counter. Addressing queries of walk-in investors and distributors. Time-stamping applications and ensuring necessary system entries and dispatch to RTA local branch Coordinate with RTA branches which are part of the corresponding Zone and with ...

Control: - Identify and evaluate the non-compliance risk at country level - Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies - Evaluate the efficiency of controls and improve them continuously - Ensure Level 1 controls on compliance are carried out - Carry out Level 2 controls ...

Greetings from Mspire ! We are urgently hiring for Branch Operation Manager for one of the leading bank in various location. Designation: Branch Operation Manager (BOM) Location: Anand, Ahmedabad, Baroda Job Responsibility: 1. Manage a team of branch operations staff (Teller/Customer Support Officer) and ensure smooth running of the branch. Ensure compliance ...

  Deputy Manager – Client Services Key Accountabilities: Manage the local branch and upcountry locations in terms of operations, stakeholder management, customer service, sales escalations etc. Perform branch operation functions such as receiving/ verifying applications and time stamping. Ensure timely follow-up and closure on any pending requests for self and team Generating MIS reports for the zone and ...

Responsibilities:We’re looking for stock Operations who oversee the day-to-day operations of our company.  Execution and Managing Funds Operations Team (Broking) for daily BAU activities, i.e.                        Client and Exchange level Funds Payin/Payout                       Client’s ...