AVP Broking Compliance

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 /...

Key Responsibilities:Manage day to day Broking compliance for Institutional Broking businesswhich includes the following:Handle all Compliance for Institutional broking & ensure that there is noregulatory non compliance / observation made during inspection.Tracking all circulars / regulatory requirements and communicating thesame to relevant teams with...

Key Responsibilities: Manage day to day Broking compliance for Institutional Broking business which includes the following: Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance / observation made during inspection. Tracking all circulars / regulatory requirements and communicating the same to relevant teams...

Key Responsibilities:Manage day to day Broking compliance for Institutional Broking businesswhich includes the following:Handle all Compliance for Institutional broking & ensure that there is noregulatory non compliance / observation made during inspection.Tracking all circulars / regulatory requirements and communicating thesame to relevant teams with...

**Role Overview**: - Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to...

Compliance Mumbai _Mumbai Western Suburbs_ February 28, 2023 - February 29, 2024 Financial Services **Job Overview**: - **Office Location (Area) **Mumbai - **Min Required Experience (Years) **2 - **Max Required Experience (Years) **6 We are looking for someone who has worked as a compliance personnel in a broking firm for at least 2 years, and has a good...

Key Responsibilities:Manage day to day Broking compliance for Institutional Broking businesswhich includes the following:1. Handle all Compliance for Institutional broking & ensure that there is no2. regulatory non compliance / observation made during inspection.3. Tracking all circulars / regulatory requirements and communicating the4. same to relevant...

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...

Role Overview:- Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to day back...

Client is looking for an analytical, customer-focused and diligent team Leader, who will lead the business operation and customer service throughout the customer life cycle in Online Stock Broking Business. This candidate will work cross-functionally to ensure customer satisfaction and compliance as per regulatory norms. Define, implement and manage...

**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, paying payout stock and funds, DP account, customer modification, RMS etc. - Responsible for customer support and seamless...

Incumbent to possess the following competencies: 1. Good knowledge of Project Management Processes and tools - 2. Proficient on MS Excel, PowerPoint and Word - 3. Good verbal and written communication with pleasing personality - 4. Proactive and extremely high on initiatives - 5. Self-starter - should be able to work with minimum supervision - 6. Ability...

Opening: 1 Nos. - Job ID: 79908 - Employment Type: Full Time - Reference: - Work Experience: 3.0 Year(s) To 8.0 Year(s) - CTC Salary: 22.00 LPA TO 22.00 LPA - Function: Accounts / Finance / Tax / CS / Audit - Industry: Banking/Financial Services - Qualification: CA - CA - Location: - Mumbai **AVP - Business reporting **What you’ll be doing**: Leading...

Responsibilities: Handled Compliance department of a large/medium sized broking house. - Review client documents for account approvals and enquiries - Obtain mandatory documents and reports as per KYC requirements - Perform necessary checks (3rd parties and regulatory website etc.) - Investigating factual and regulatory rule background behind client...

Handling Exchange, DP, SEBI and all other regulatory Compliance matters for broking company, DP, Investment Advisory, PMS etc. - Handling Client Complaints, litigations, Arbitration and Court cases on behalf of Company - To ensure compliance with various external and internal Rules, Regulations, Policies and Procedures - Coordination of inspection and audit...

Job Title: TL / BM / AVP - SalesPosition Code: TLLocation: Delhi / Kanpur / MumbaiDate of Posting: 09-04-2024Experience: 5 yearsKey Responsibilities:Experience: Minimum 5 years plus years in Stock broking/NBFC.Excellent communication (oral & written), & Leadership skills are a must. Excellent mentoring, coaching and people management skills.Ability to lead...

Major Deliverables:- Responsible for all compliance, regulatory, policies and processes as applicable. - Implementing and managing the compliance framework of the company. - Identify root causes of non-compliance events. Provide recommendations on corrective actions. - Identify various risks and prepare the risk framework of the company. Evaluate the...

**Mumbai** **Competency**: AVP - Marketing Connect Mumbai **Department**: Marketing **Designation**: Assistant Vice President **Legal Entity**: Choice Connect Private Limited

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...

Job Title:TL / BM / AVP - SalesPosition Code:TLLocation: Delhi / Kanpur / MumbaiDate of Posting:Experience: 5 yearsKey Responsibilities:Experience: Minimum 5 years plus years in Stock broking/NBFC.Excellent communication (oral & written), & Leadership skills are a must. Excellent mentoring, coaching and people management skills.Ability to lead & recruit...