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 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 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...

Company DescriptionWe are currently hiring for a lead manager to handle Compliance and Governance function in one of the top 3 distributors of PMS and AIF.Role DescriptionThis is a full-time on-site role for an AVP- Compliance (PMS/AIF). The AVP- Compliance will be responsible for managing compliance activities related to PMS (Portfolio Management Service)...

**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...

Company Description We are currently hiring for a lead manager to handle Compliance and Governance function in one of the top 3 distributors of PMS and AIF. Role Description This is a full-time on-site role for an AVP- Compliance (PMS/AIF). The AVP- Compliance will be responsible for managing compliance activities related to PMS (Portfolio Management...

Company DescriptionWe are currently hiring for a lead manager to handle Compliance and Governance function in one of the top 3 distributors of PMS and AIF.Role DescriptionThis is a full-time on-site role for an AVP- Compliance (PMS/AIF). The AVP- Compliance will be responsible for managing compliance activities related to PMS (Portfolio Management Service)...

Company DescriptionWe are currently hiring for a lead manager to handle Compliance and Governance function in one of the top 3 distributors of PMS and AIF.Role DescriptionThis is a full-time on-site role for an AVP- Compliance (PMS/AIF). The AVP- Compliance will be responsible for managing compliance activities related to PMS (Portfolio Management Service)...

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...

Compliance Mumbai _Mumbai Western Suburbs_ April 3, 2024 - April 4, 2025 Financial Services **Job Overview**: - **Office Location (Area) **Mumbai - **Required Education **Graduation - **Course Type **Full Time - **Min Required Experience (Years) **2 - **Max Required Experience (Years) **10 We are looking for someone who has worked as a compliance...

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...

We are looking for Compliance Officer/ Executive Company - Stock Broking Location - Nariman Point Experience - 4-7 yrs Salary - 30-60 k pm Knowledge of DP and stock broking back office, Compliance with SEBI (Stock Broking, Merchant Banking, Invest Advisory) Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock...

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...

Opening: 1 Nos. - Job ID: 63365 - Employment Type: Full Time - Reference: - Work Experience: 10.0 Year(s) To 17.0 Year(s) - CTC Salary: 30.00 LPA TO 45.00 LPA - Function: Legal - Industry: Banking/Financial Services/Broking/Trading - Qualification: MBA/PGDM/MPM - Other Management - Location: - Mumbai **AVP - Business Regulatory will be instrumental in...

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...