16 Job openings found

For a role that encompasses IT GRC (Governance, Risk, and Compliance) along with IT Security Auditresponsibilities, especially in the context of NIST, ISO 27001, SOC2, ITGC audit, RBI (Reserve Bank of India)regulatory compliance, IT Security Compliance, Business Continuity Management (BCM), Disaster Recovery(DR), and Vulnerability Assessment (VA), the roles and responsibilities ...

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 ...

Responsibilities: Audit Planning and Execution: Plan and execute comprehensive audits of banks and NBFCs in accordance with auditing standards and regulatory requirements. Conduct risk assessment and develop audit programs to address key audit risks and objectives. Perform detailed testing of financial transactions, controls, and processes to ensure accuracy and compliance. A strong eye for detail ...

A Chartered Accountant (CA) plays a crucial role in various financial activities, including Initial PublicOfferings (IPOs), due diligence, and fund-raising activities. Here & an overview of the job descriptionfor a Chartered Accountant in these segments: IPO (Initial Public Offering): Financial Reporting and Compliance: Ensure that the company's financial statements comply withregulatory requirements ...

JD Manager – Compliance:   CS/LLB 12+ years of experience in stock broking operations only. Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up. Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature. Flexible and ability to prioritize tasks and manage multiple tasks within ...

Position Overview:We are seeking a dynamic and experienced professional to join our team as aMargin Trading Facility Specialist. In this role, you will be responsible formanaging and optimizing our margin trading facility, ensuring compliance withregulatory requirements, and providing support to traders utilizing marginaccounts. The ideal candidate will have a strong ...

The Job Description is herein below for your reference. Role Name – Merchant Banking ExecutionExperience –1-2 yr actual exp in merchant banking mandatory (articleship will not be counted in experience) Role Description 1. IPO/ Open Offer/ AIFs Execution: Manage the execution process for Right Issue, Open Offer, Mainboard Initial Public Offerings (IPO), SME ...

Job Description: Position Overview:We are looking for an experienced Senior Mutual Fund Distributor who has in-depth knowledge ofthe mutual fund industry, experience in managing client portfolios, and the ambition to eventuallystart their own broking firm. The ideal candidate will play a crucial role in building our firm,managing client relationships, and contributing ...

Job Description – Sales and Marketing Leader Compliance Products About the company: Mactus started in year 2012 as a system integration company, providing industrial automation solutions and building management solutions (BMS). Mactus portfolio includes products and solutions to improve manufacturing and regulatory compliance in Pharmaceutical industries. Mactus primary customers are ...

Job Description: KYC Manager in Stock Broking Firm Oversee KYC Process: Manage end-to-end Know Your Customer (KYC) procedures to ensure compliance with regulatory guidelines. Customer Onboarding: Supervise customer onboarding, ensuring timely and accurate completion of KYC documentation. Regulatory Compliance: Ensure adherence to SEBI, AML, and other relevant regulations related to customer identification and ...