Compliance Officer

1 week ago


Ahmedabad, Gujarat, India A2Z Jobs Consultancy Full time
Required Compliance Officer( Stock Broking) An efficient complaince officer from the Stock Broking Industry

Should have minimum 4-5 years of experience in stock broking complaince

Should be able to handle exchange reportings appropriately ( Daily, Weekly, Monthly)

Should be able to handle all audit-related matters independently ( Internal and External)

Must have handled Exchanges (NSE, BSE, MCX, MCDX, Etc) and SEBI Audits - Must have handled Depository ( NSDL/CDSL) Audits - Sound knowledge of latest regulations


Handled compliance-related inspections/ Audit of various types of Brokers of the Exchange including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in the equity market, and big broking houses.


Conducting in-depth financial analysis and risk assessment of stockbroker to gauge their solvency and to evaluate the potential risk they pose to the system.

Drafting of various observations of the queries raised by Exchanges/ SEBI.
- compliance
- risk
- assessment
- financial analysis
- mcx
- nse
- regulations
- risk assessment
- institutional
- conducting
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