Compliance Officer

7 days ago


Andheri, Maharashtra, India Asit C Mehta Investment Interrmediates Full time

Job ID:
Compliance Officer

Role:
Compliance Officer

Department:
Compliance and Legal

Location:
Andheri East, Mumbai, Maharashtra

Designation:
Manager - AVP

Reporting structure for the position:
Managing Director

No of Position Vacant: 1

  • Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, CDSL, PFRDA, IRDA ad MCA, AMFI.
  • Maintaining the Compliance Calendar, in accordance with regulatory requirements and adhere to the deadlines prescribed for each activity
  • Redressing the grievances of clients in a timely manner
  • Handling arbitration related matters
  • Registering / deregistering Authorized Person and Sub Broker with Exchanges/SEBI and adhere to necessary compliance related matters thereto. Base capital deposit release process.
  • Handling Statutory / Regulatory Inspections / Audits
  • Application / Renewal of Registrations / Approvals for various business activities
  • Provide training for Anti Money Laundering Standards to all Staff members. Reporting suspicious transactions to FIU.
  • Ensuring compliance with the Code of Conduct for Prevention of Insider Trading
  • Answering any compliance related queries raised by functional / operations departments
  • Reporting to the Board of Directors/Managing Director if the company / any staff member has breached compliance requirements
  • Coordinating for and attending to legal matters, as and when required. Vetting of documents.
  • Attending to queries/letters/communication from external agencies (other than Exchanges) like EOW, ACB, etc.

Preferred Skills:

  • Sound knowledge & working experience of compliance regulations
  • Good analytical ability to take calculated risks & decisions
  • Integrity
  • Energetic & Initiative taking attitude
  • Resilient & stress tolerant
  • Adaptable to change
  • Detail conscious
  • Persuasive & good negotiation skills
  • Presentable, with good listening, oral and written communication skills

Education:
Bachelor's degree

Exp

Required in Years:

1- 5 years of relevant experience in stock broking/fintech company

Compensation:
Will be discussed during interviews

Hiring process/round of interviews:
Behavioural & technical interviews

Expected Notice Period: 30 days
  • Visa Officer

    7 days ago


    Andheri, Maharashtra, India Admin Bright LLP Full time

    Job TitleVisa OfficerKey Responsibilities Client coordination Folder management : performing general clerical duties, electronic filing of documents Ensuring client information/records are kept uptodate and accurate by maintaining client folder as per compliance standards.Skills & Experience Work experience working in a similar role within the migration...

  • Security Officer

    7 days ago


    Andheri, Maharashtra, India Zecruiters Jobconnect Full time

    Job Id: Z1936Industry: Education 1Gender: MaleExperience:YearQualification: 18Designation: Security OfficerDepartment: Security & SafetySub Department: General Security & SafetyLocation: Andheri Railway StatCity: MumbaiCountry: IndiaCTC INR Lacs:p.aVariable: NoSkills:Preference:Retired Army OfficersIf he s retired Army officers then undergraduate is also...


  • Andheri East, Maharashtra, India People Alliance Workforce Private Limited Full time

    CHIEF FINANCIAL OFFICER/FINANCIAL CONTROLLER FROM LISTED COMPANYChief Financial Officer from Any Manufacturing Industry, SHOULD HAVE IPO LISTING EXPERIENCE.Qualification - Qualified Chartered Accountant with 10+yrs Exp Post QualificationResponsibilities: Monthly and Annual Accounts, internal and Statutory Audits finalization including consolidation...

  • Visa Officer

    7 days ago


    Andheri, Maharashtra, India Admin Bright Llp Full time

    Location : Andheri East I Mumbai (onsite only)Qualification : GraduateExperience : min 2 yearsWork timings : 7.00am to 3.30pmWork days :Monday to SaturdayJob descriptionTaking care of visa applications, online visa form filling, collection of documents, drafting, data checking / verifying the informationClient coordinationFolder management : performing...


  • Andheri, Maharashtra, India finquest financial solutions private limited Full time

    As a Company Secretary Intern at FinQuest Financial Solutions Private Limited, you will gain hands-on experience and exposure in various aspects of corporate governance, compliance, and regulatory affairs. You will work closely with the Company Secretary and support them in ensuring the company's compliance with legal and regulatory requirements.Key...

  • company secretary

    7 days ago


    Andheri, Maharashtra, India finquest financial solutions private limited Full time

    As a Company Secretary at FinQuest Financial Solutions Private Limited, you will play a critical role in ensuring compliance with legal and regulatory requirements, managing corporate governance practices, and providing guidance on company law matters. You will be responsible for overseeing the company's secretarial functions and working closely with the...


  • Andheri, Maharashtra, India Cornerstone OnDemand Full time

    We're looking for a Software Accessibility QA Engineer This role is Office Based This is the opportunity for the Accessibility expert with a talent and passion for testing, to join Cornerstone OnDemand India team. As Software Accessibility QA Engineer, you will be working together with some of the most highly skilled Software Engineers in the...

  • Program Manager

    7 days ago


    Andheri, Maharashtra, India Cornerstone OnDemand Full time

    We're looking for a Program Manager This role is Office Based Program Manager, IT Security – India (senior level ok too,requires more years of experience)The Program Manager for Cornerstone is responsible for managingand implementing a comprehensive security program for the company's portfolioof applications. This involves identifying and...

  • Executive Manager

    7 days ago


    Andheri, Maharashtra, India Gegadyne Energy Full time

    Gegadyne Energy is a leading battery manufacturing company dedicated to producing high-quality Non-Lithium Based Quick Charging Battery Technology for various applications. We are committed to innovation, sustainability, and providing reliable energy solutions. As we continue to grow, we are seeking a motivated and experienced Store Manager to join our team...

  • Senior Accountant

    7 days ago


    Andheri, Maharashtra, India Paradise Placement Consultancy Full time

    Job Description: India's industry leader in Recruitment and Staffing of healthcare professionals over a decade No of openings: 1 Qualification: Min Graduate Experience/Fresher:2-6yrs. Minimum and maximum range of salary: 20k-50k For which location: Andheri Shifts timings /duty hours: 10-7 Male/female: Any • Description: Coordinating...


  • Andheri, Maharashtra, India WAY2GO Full time

    Chartered Accountant Role Location: Andheri (E) Head Office Mumbai Budget Max Up to 8-10 Lakhs Per Annum Qualification: Chartered Accountant Experience: 1 Year Experience (Freshers) Reports to: Group Financial Controller Responsibilities: Record, maintain, and manage day-to-day financial transactions of the company. Coordinate, prepare,...


  • Andheri, Maharashtra, India Ananta resource Management Full time

    Our Client is a chartered accountancy partnership firm registered with Institute of Chartered Accountants of India (ICAI), established in 2010, having office at Mumbai. They are the team of young and energetic people's having positive approach to provide expert and professional services with due care of professional ethics.The firm is engaged in the...


  • Andheri, Maharashtra, India Imfirmity Full time

    Position: Franchise Coordinator | Operations Executive | Customer and Client CordinationSummary: As a Franchise Coordinator at our esteemed gym, you will play a crucial role in maintaining effective communication and coordination with our franchise partners. Your primary responsibility will be to ensure smooth and efficient operations between the gym's...


  • Andheri, Maharashtra, India Comaea Consulting Full time

    Job DescriptionOur client is an established and leading company in the shipping industry with offices worldwide. To support its growth ambitions they are further developing its internal IT department and looking to hire competent professionals in its office in India.We are supporting our client in hiring :Systems AdministratorBased in Andheri,...


  • Andheri, Maharashtra, India Comaea Consulting Full time

    Our client is an established and leading company in the shipping industry with offices worldwide. To support its growth ambitions they are further developing its internal IT department and looking to hire competent professionals in its office in India. We are supporting our client in hiring :Systems AdministratorBased in Andheri, MumbaiORGANIZATION :...


  • Andheri, Maharashtra, India PCRED VENTURES PVT LTD Full time

    Job Title:Loan Sales OfficerExperience: 27 yearsReport To: CEO & CFOSalary: 25,000/ to 40,000/ Responsibilities: Analyze active loan files on a regular basis and recommend solutions to speed up the loan process. Complete loan contracts and teach clients on policies and regulations. Interview applicants to define financial eligibility and establish debt...


  • Andheri, Maharashtra, India WhiteWater Full time

    Our people are at the heart of WhiteWater's success and achievements. Why? Because the way each of us view the world, our mindset, directly impacts every interaction and experience we have, each relationship we build, and the goals and outcomes we achieve. Just as we as individuals are shaped by our mindset, so too is our organizational culture – the...

  • Admin Executive

    7 days ago


    Andheri, Maharashtra, India WorkSquare Full time

    Job Description: Admin ExecutiveAn Admin Executive, also known as an Administrative Executive or Administrative Assistant, plays a vital role in providing administrative support and managing various tasks within an organization.The specific responsibilities and duties may vary depending on the company and industry, but generally, the following are the common...

  • Finance Manager

    7 days ago


    Andheri, Maharashtra, India Paradise Placement Consultancy Full time

    Job Description: We are having an urgent opening for the position of Finance Manager for a reputed Company at the Mumbai location. Job Description: • Will be responsible for Strategic Planning, preparing & managing the quarterly & annual operating plan, Budgeting & forecasting, MIS and Financial reporting, setting up process & control,...


  • Andheri, Maharashtra, India Cornerstone OnDemand Full time

    We're looking for aSenior Database AdministratorThis role isOffice BasedJob Summary:We are seeking a highly skilled and experienced Senior Database Administrator with at least 5 years of hands-on experience in managing and optimizing databases, specifically in MySQL or PostgreSQL and MongoDB. The ideal candidate should possess expertise in AWS cloud...