1 Opening(s)
5.0 Year(s) To 10.0 Year(s)
6.00 LPA TO 12.00 LPA
Key Responsibilities:
Regulatory Compliance Management:
Oversee and manage the company's compliance with local and international regulatory requirements (e.g., SEBI, RBI, AMFI, etc.).
Monitor changes in the regulatory environment and ensure the business adapts accordingly.
Conduct periodic reviews to ensure all processes and activities align with the latest regulatory guidelines.
Risk Management:
Assess risks associated with the ...
1 Opening(s)
7.0 Year(s) To 10.0 Year(s)
10.00 LPA TO 20.00 LPA
JD Manager – Compliance:
CS/LLB 12+ years of experience in stock broking operations only.
Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up.
Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.
Flexible and ability to prioritize tasks and manage multiple tasks within ...
2 Opening(s)
5.0 Year(s) To 10.0 Year(s)
7.00 LPA TO 14.00 LPA
Handling Compliances and Inspections related to all exchanges, Depository and Regulatory
Validation and quality assurance of Inspection Reports
Preparation and Submission of Periodical Returns to Exchanges, Depository (Quarterly, Half Yearly, Annually)
Verification of KYC, KRA and the supporting documents of the Clients including Corporate, Trust, NRI and FPIs and their related compliances
Review and ...
- Compliance Management
- Sebi Compliance
- Regulatory Compliance
- Kyc Verification
- Kra Compliance
- Pmla Compliance
- Exchange Compliance
- Depository Compliance
- Internal Audit
- Inspection Handling
- Client Grievance Handling
- Risk Management
- Sop Development
- Regulatory Reporting
- Compliance Audits
- Branch Inspection
- Nri Compliance
- Fpi Compliance
- Quality Assurance
- Financial Compliance
2 Opening(s)
5.0 Year(s) To 10.0 Year(s)
7.00 LPA TO 14.00 LPA
Handling Compliances and Inspections related to all exchanges, Depository and Regulatory
Validation and quality assurance of Inspection Reports
Preparation and Submission of Periodical Returns to Exchanges, Depository (Quarterly, Half Yearly, Annually)
Verification of KYC, KRA and the supporting documents of the Clients including Corporate, Trust, NRI and FPIs and their related compliances
Review and ...
- Compliance Management
- Sebi Compliance
- Regulatory Compliance
- Kyc Verification
- Kra Compliance
- Pmla Compliance
- Exchange Compliance
- Depository Compliance
- Internal Audit
- Inspection Handling
- Client Grievance Handling
- Risk Management
- Sop Development
- Regulatory Reporting
- Compliance Audits
- Branch Inspection
- Nri Compliance
- Fpi Compliance
- Quality Assurance
- Financial Compliance
1 Opening(s)
3.0 Year(s) To 8.0 Year(s)
Not Disclosed by Recruiter
Location: Kolkata 💼 Experience: 3+ years 💰 Compensation: CTC (Gross, inclusive of PF & yearly one take-home salary as a bonus)
Bond: 2yrs
📢 Mode of Interview: Face-to-Face (F2F) only
Key Requirements:
✅ Experience: Minimum 3+ years in compliance roles within the stock broking industryQualification: Commerce Graduate (CS not mandatory) 📜 Expertise: SEBI regulations, Exchange compliance ...
1 Opening(s)
5.0 Year(s) To 7.0 Year(s)
3.50 LPA TO 4.00 LPA
Preparation and Maintenance of all Statutory Records, Forms, Registers etc.
Factory act compliance & records
Wages Act Compliance & Records
i. Labor Department compliance & records
ii. Employment exchange compliance & records
iii. Professional Tax records
Fire Department compliance & records
GPCB compliance & records with the help of consultant.
Electricity board compliance & records with the help of Alpesh Patel.
ESIC ...
1 Opening(s)
1.0 Year(s) To 3.0 Year(s)
5.00 LPA TO 6.00 LPA
Role Responsibilities:
ï‚· Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements.
ï‚· Prepare and submit periodic reports to regulatory authorities and exchanges.
ï‚· Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures.
ï‚· Monitor trading activities to identify and report unusual or non-compliant ...
1 Opening(s)
4.0 Year(s) To 6.0 Year(s)
3.60 LPA TO 4.80 LPA
Preparation and Maintenance of all Statutory Records, Forms, Registers etc.
Factory act compliance & records
Wages Act Compliance & Records
Labor Department compliance & records
Employment exchange compliance & records
iii. Professional Tax records
Fire Department compliance & records
GPCB compliance & records with the help of consultant.
Electricity board compliance & records
ESIC Act compliance & records.
PF Act compliance ...
1 Opening(s)
5.0 Year(s) To 6.0 Year(s)
8.00 LPA TO 10.00 LPA
Department: Secretarial & ComplianceLocation: AhmedabadPosition: Assistant Company Secretary / Secretarial ExecutivePreference: Preferably Male candidate onlyReporting to: Company Secretary &Compliance OfficerVacancy: 5 – 6 yrsRole OverviewThe role involves supporting the Secretarial Department in ensuring statutory, regulatory, and governance compliance for a listed manufacturing company in the energy sector. The candidate will assist in ...
1 Opening(s)
15.0 Year(s) To 20.0 Year(s)
20.00 LPA TO 25.00 LPA
Job description for Head of Operations
We are looking for an analytical, customer-focused and diligent team Leader, who will lead the business operation and customer service throughout the customer life cycle in Online Stock Broking Business. This candidate will work cross-functionally to ensure customer satisfaction and compliance as per regulatory norms.
Responsibilities:
- ...