1 Opening(s)
5.0 Year(s) To 10.0 Year(s)
6.00 LPA TO 8.00 LPA
Job Role:Candidate is overall responsible for PMLA (Prevention of Money Laundering Act, 2002) and Surveillancerelated compliance. He has also looked after client onboarding and post boarding activities which includes STRFiling and Review STR alerts. He also needs to handle the team of executives. Candidate from Indian financialbroking industry and has ...
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)
5.0 Year(s) To 8.0 Year(s)
6.00 LPA TO 8.00 LPA
Key Responsibilities:● Periodic Regulatory Reporting & Tracking:○ Manage and ensure timely and accurate periodic reporting as a SEBI registered Stock Brokerand Depository Participant to regulating authorities including SEBI, CDSL, NSDL, NSE, BSE,and ICCL.○ Oversee periodic reporting as a PFRDA registered Point of Presence for NPS to the PFRDA.○ Proactively track ...
1 Opening(s)
8.0 Year(s) To 15.0 Year(s)
18.00 LPA TO 25.00 LPA
Education Background
Post Graduate, Graduate
Principal Accountabilities:
PMS Domestic Operation:
Fund Accounting – PMS Operations viz. Subscription, Redemption & Trade Settlement
Accounting of Corporate Action viz. Dividend, Bonus, Rights
Bank Reconciliation / Holding Reconciliation
Account opening and KYC processing
Liaising with auditors (Internal & Statutory) with respect to providing data as per requirement
Client & distributor query resolution
Distributor commission ...
1 Opening(s)
5.0 Year(s) To 10.0 Year(s)
20.00 LPA TO 31.00 LPA
Job Purpose:
The role of Compliance Officer (CO) & Principal Officer (PO) at GIFT City IBU is a Designated Position and to be always held by an Approved Individual, as per IFSCA regulations.
As CO & PO of the IBU, you need to perform your duties objectively and independently of operational and ...
1 Opening(s)
5.0 Year(s) To 10.0 Year(s)
Not Disclosed by Recruiter
Key Responsibilities:Risk Management:• Develop and maintain a robust enterprise risk management (ERM) framework.• Identify, assess, monitor, and report operational, credit, market, and strategic risks.• Monitor and manage risks related to lending, collections, and underwriting models.• Implement risk mitigation strategies, policies, and procedures.• Lead periodic stress testing, scenario analysis, and risk ...
1 Opening(s)
5.0 Year(s) To 10.0 Year(s)
20.00 LPA TO 22.00 LPA
Interpreting & implementation of regulatory circulars issued by RBI, PMLA, SEBI,IRDA etc.
Liaisoning with stakeholders like Compliance / Risk / Product / Legal / OPS etc. to gather information.
Identification and Review of existing processes for revision / updation.
Providing tailor made solution to Branches for specific business requirements.
Provide assistance to product / ...
1 Opening(s)
8.0 Year(s) To 15.0 Year(s)
18.00 LPA TO 25.00 LPA
POSITION:
Senior Manager - PMS Operations
Reports to (Position):
Vice President - PMS Operations
Education Background
Post Graduate, Graduate
Principal Accountabilities:
PMS Domestic Operation:
Fund Accounting – PMS Operations viz. Subscription, Redemption & Trade Settlement
Accounting of Corporate Action viz. Dividend, Bonus, Rights
Bank Reconciliation / Holding Reconciliation
Account opening and KYC processing
Liaising with auditors (Internal & Statutory) with respect to ...
1 Opening(s)
7.0 Year(s) To 10.0 Year(s)
25.00 LPA TO 25.00 LPA
POSITION: Senior Manager or AVP (depending on experience and qualification)Reports to (Position): Director and Head - Compliance)Business Unit: ComplianceLocation: MumbaiPosition Purpose: Core Responsibility
Investment limit monitoring, coding of rules, checking the settings in trading application for various investment restrictions, clearing of alerts, comprehensive repository of limits applicable to schemes, providing reports related to limit ...