1 Opening(s)
5.0 Year(s) To 8.0 Year(s)
5.00 LPA TO 6.00 LPA
A stock-related compliance job, often referred to as Securities Compliance or Capital Markets Compliance, involves ensuring that financial institutions, brokerage firms, investment managers, or companies follow the rules and regulations of relevant authorities like SEBI (India), SEC (USA), or other market regulators. Below are key job responsibilities in this field:
Key ...
1 Opening(s)
8.0 Year(s) To 12.0 Year(s)
8.00 LPA TO 15.00 LPA
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 ...