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Compliance

2 months ago

mumbai, India GEPL Capital Full time

GEPL Capital is India's most trusted, intelligent and robust full-service broker powered by cutting-edge technology and propelled by financial experts who offer the most robust wealth management and investment solutions. GEPL Capital is focused on wealth creation for all its customers and its services and product offerings include mutual funds, fixed income plan, financial planning, equity trading, global investing, wealth management, NRI services, IPO and among several others. Discover everything about online trading, get help deciphering the stock market and make investments that are right for you to safeguard your future. Follow us get updates about the most recent global financial tutorials, get exclusive market information, and learn about economic updates and investment strategies.

The Role

You will be responsible for :

  • Overseeing all aspects of compliance with internal policies and regulatory requirements.
  • Proactively identifying current/potential compliance issues and ensuring these are appropriately escalated so that appropriate remedial actions are taken in a timely manner.
  • Reviewing and updating compliance policies and procedures.
  • Monitoring regulatory developments, analysing their business impact and updating policies and procedures to reflect these in collaboration with team members.
  • Conducting training on compliance matters to raise compliance awareness across the organisation.

Ideal Profile

  • You have at least 1 year experience including solid experience in a similar role within Financial Services.
  • You possess excellent communication and business partnering skills and can collaborate effectively with multiple stakeholders.
  • You have working knowledge of good communication, knowledge of SEBI rules and guidelines, NISM-Series-IIIA (Securities Intermediaries Compliance) and excel Knowlege
  • You possess strong analytical skills and are comfortable dealing with numerical data
  • You are highly goal driven and work well in fast paced environments
  • You pay strong attention to detail and deliver work that is of a high standard

What's on Offer?

  • Opportunity to make a positive impact
  • A role that offers a breadth of learning opportunities