22 Job openings found

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 ...

Job Description:The LLP is seeking a license from SEBI to set up a Portfolio Management Service (PMS). To augment our team, we are looking for a dynamic and result oriented security market professional with the following credentials:Job Role:The Fund Manager will be responsible for decisions related to administration/management of securities/funds ...

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 ...

Job OverviewThe RMS Manager will play a critical role in overseeing and managing the Risk ManagementSystem for a leading, publicly listed broking firm. This individual must be highly skilled inrisk analysis and mitigation, with particular expertise in using ODIN and Greek softwaresystems. The RMS Manager will ensure compliance with regulatory ...

OPENINGS AT VARDHMAN TRUSTEESHIP PVT LTDDepartment: - Trusteeship Services (Debenture Trustee, Security Trustee, AIFs etc) Job Designation: - Asst. Manager, Manager Job Description: - NSDL & Compliance Operations ● NSDL work related to Pass through certificates, Debentures & NCDs. ● Following up with NSDL & stakeholders for the above. ● Compliance with SEBI Debenture Trustee ...

We are looking for a Manager – DP Operations to oversee and manage depository-related activities in compliance with SEBI, NSDL/CDSL, and stock exchange regulations. The ideal candidate should have hands-on experience in DP operations, compliance, securities transactions, and risk management within a stock broking firm. Key Responsibilities:Depository Operations & Transaction Processing✅ ...

Location: Kolkata 💼 Experience: 3+ years 💰 Compensation: CTC (Gross, inclusive of PF & yearly one take-home salary as a bonus) Bond: 2yrs 📢 Mode of Interview: Face-to-Face (F2F) only Key Requirements: ✅ Experience: Minimum 3+ years in compliance roles within the stock broking industryQualification: Commerce Graduate (CS not mandatory) 📜 Expertise: SEBI regulations, Exchange compliance ...

Key Responsibilities: Compliance Management: Ensure adherence to SEBI regulations. Handle secretarial compliance for listed and unlisted companies in the group. Manage all statutory requirements under the Companies Act, 2013. Regulatory Filings and Coordination: Filing and maintaining statutory records and returns. Liaison with regulatory bodies such as SEBI, RBI, ROC, and Stock Exchanges. Corporate Governance: Support in Board and Committee ...

  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 ...

Job Title:L&D Head – Stock Market Training & Client Acquisition (NISM Certified)Location:Mumbai/KolkataExperience:Minimum 5 Years in Learning & Development (Finance/Stock Market Domain)Industry:Finance | EdTech | Stock Market Training | Brokerage______Job Overview:We are hiring a seasoned L&D Head with strong expertise in the Indian Stock Market and a proven track record in ...