Manager – Compliance
Job Description:
1.Manager – Compliance
Experience – 7 -8 Years from Broking Industry
- Handling Joint Inspection of Stock Exchange and SEBI
- Handling inspection of Various Stock Exchanges, Commodity Exchanges and SEBI
- Handling Compliance of Investment Advisor
- Modification in process as per recent amendments of Exchange and SEBI
- Co-ordinate with Auditor and submit Internal Audit reports and System Audit Report to the Exchange
- Implementation of PMLA guidelines for brokers
- Handling Weekly, Monthly, Quarterly, Half-Yearly and Yearly Compliance of the Exchange
- Implementation of circulars issued by BSE, NSE, MSEI, MCX, NCDEX, SEBI, Indiainx, NSE IFSC
- Handling Research Compliance
- Reply to Customer Grievance and attend IGRC hearing
- Preparing documents for Arbitration matters of the Exchange
- Handling Empanelment process of Banks, Mutual Funds, Venture Capital Funds, Foreign Venture Capital Investors and FII’s with broker
- Handling compliance of IFSC of Indiainx & NSE IFSC
Key Skills :
Company Profile
Established in the year 1994, We have developed into one of the largest financial services and broking house in India within a short span of time. Today, we are the fastest growing financial service with 5 mega group companies under it. With diligent effort, acknowledged industry leadership, and experience, we have spread our trustworthy expertise all over the country with pan-India presence across more than 1784 outlets spread across 560 cities. With a smorgasbord of services across all verticals in finance, we offer you the perfect blend of financial services right from Equity Broking, Advisory Services that cover --- Management Services, Mutual Fund Investments, Insurance to exceptional Depository Services.
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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.