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)
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 ...
1 Opening(s)
7.0 Year(s) To 10.0 Year(s)
10.00 LPA TO 15.00 LPA
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 ...