Head - Compliance & Legal - Stock Broking (12-15 yrs)

Exchange related compliance and documentation (BSE, NSE, MCX ETC) - SEBI compliance for stock brokers. Only PROP. - Other day to day exchange related queries and documentation. - All other compliance and exchange related tasks. - Must know how to communicate with NSE and other exchanges for day to day back office work and compliance. - SEBI circular...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business.Responsibilities:Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations.Responsible for business parameters including customer acquisition...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer acquisition...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer acquisition...

Function: Operations Location: Mumbai Position Title: Manager / Senior Manager / VP / AVP Qualifications: Qualified as Company Secretary (MUST) Work Experience  : Work experience of 4-7 years. Must have exposure & experience in managing Compliance and understanding & awareness about Debt Capital Market business in financial...

**Location** Mumbai **Experience** 12-15 Years **Key Skills** Company Secretary, Companies Act, General Meeting, Notice, Agreement, SEBI, ROC, Annual Reports, Compliance **Position : Company Secretary** **Qualification: CS** **Experience : 12-15 yrs** **Location: Mumbai** **Key work areas**: - Planning, scheduling, preparing Board, committee and...

Company : A leading Listed NBFC with more than 20000 employeesJob Description:Legal Head - Documentation and RegulatoryExposure to legal regulatory and compliance also need to ensure that our documentation (loan agreements, etc) meet the regulatory purpose,Need to ensure that IT and other agreements are compliant from a data privacy standpoint.Someone who...

Position Title :  Manager/ Senior Manager Function :  Operations Reports to :  Head Operations Qualifications: Qualified as Company Secretary (MUST) Work Experience (highlight) : Work experience of 4-7 years. Must have exposure & experience in managing Compliance and understanding & awareness about Debt Capital Market business in...

Role: Involves ensuring compliance with SEBI & other applicable rules and regulations of the stockexchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, clientcommunications, monitoring operations, reporting, empanelment, liaising with back office ofinstitutional cum HNI clients, other day to day back office work...

Role: Involves ensuring compliance with SEBI & other applicable rules and regulations of the stockexchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, clientcommunications, monitoring operations, reporting, empanelment, liaising with back office ofinstitutional cum HNI clients, other day to day back office work...

Join Our Team as a Senior Manager/AVP Broking Compliance.Location: Lower Parel, MumbaiReporting To: Head of Broking ComplianceKey Responsibilities:Manage day to day Broking compliance for Institutional Broking business which includes the following:1. Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance /...

Company: A leading Listed NBFC with more than 20000 employeesJob Description:Legal Head - Documentation and RegulatoryExposure to legal regulatory and compliance also need to ensure that our documentation (loan agreements, etc) meet the regulatory purpose,Need to ensure that IT and other agreements are compliant from a data privacy standpoint.Someone who has...

Company : A leading Listed NBFC with more than 20000 employees Job Description: Legal Head - Documentation and Regulatory Exposure to legal regulatory and compliance also need to ensure that our documentation (loan agreements, etc) meet the regulatory purpose, Need to ensure that IT and other agreements are compliant from a data privacy standpoint. Someone...

Company: A leading Listed NBFC with more than 20000 employeesJob Description:Legal Head - Documentation and RegulatoryExposure to legal regulatory and compliance also need to ensure that our documentation (loan agreements, etc) meet the regulatory purpose,Need to ensure that IT and other agreements are compliant from a data privacy standpoint.Someone who has...

About this role:The Head of Compliance will be required to oversee the compliance framework and ensure all applicable regulatory requirements are met.Job Description: Develop and implement compliance policies for all applicable laws and regulations relating to the business. Oversee Compliance operations. All matters related to SEBI and RBI Handling of work...

Compliance Mumbai _Mumbai_ August 18, 2023 - August 18, 2024 Financial Services **Job Overview**: - **Office Location (Area) **Mumbai - **Salary Offer **Upto 15 LPA - **Required Education **Qualified as Company Secretary - **Course Type **Full Time - **Min Required Experience (Years) **4 - **Max Required Experience (Years) **5 **Position Title**: Manager/...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business.Responsibilities:- Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations.- Responsible for business parameters including customer...

Company: A leading Listed NBFC with more than 20000 employeesJob Description:Legal Head - Documentation and Regulatory- Exposure to legal regulatory and compliance also need to ensure that our documentation (loan agreements, etc) meet the regulatory purpose,- Need to ensure that IT and other agreements are compliant from a data privacy standpoint.- Someone...

Responsibilities : - Define, implement and manage operational processes as per regulatory framework to ensure exchange compliance. - Vendor management. - Able to build and manage teams for important functions like account opening, payin payout stock and funds, DP account, customer modification, RMS etc. - Responsible for customer support and...