1 Opening(s)
12.0 Year(s) To 20.0 Year(s)
14.00 LPA TO 15.00 LPA
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 ...
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)
1.0 Year(s) To 3.0 Year(s)
5.00 LPA TO 6.00 LPA
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 ...