Compliance Associate with Leading Mnc Broking

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...

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 /...

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...

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...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business.Responsibilities:Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations.Responsible for business parameters including customer acquisition...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer acquisition...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business. Responsibilities: Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations. Responsible for business parameters including customer acquisition...

Compliance Associate (eComm), Monitoring & Testing, Sustainalytics & Indexes Role: Compliance Associate Shift: General No of Position: 2 The Team: Monitoring & Testing team is embedded in the Global Controls team, within the Compliance department. The Role: Morningstar is currently seeking a Compliance Associate to manage monitoring &...

iRage - Head - Broking Operations We are seeking an experienced and dynamic Head of Broking Operations to lead and optimize our trading operations. In this pivotal role, you will spearhead process innovation, automation, and digitalization efforts to drive operational excellence and superior customer experiences. You will collaborate closely with...

**Req ID**: 47503 **Department**: Insto Relationship International South Asia **Division**: Institutional **Location**: Mumbai About the role At ANZ our purpose is to shape a world where people and communities thrive. We’re making this happen by improving the financial wellbeing and sustainability of our customers so they can achieve incredible...

**Responsibilities**: - Price Upload: Uploading Bhav copy stock prices of underlying Securities & NAV updation - Looking after daily process of risk management team i.e. Trade modification, review of limits given, price rigging, scrip violations, trade matching, circular trading, etc. - Reporting periodic information including MIS on suspicious transaction...

We are looking for an Experienced and energetic Leader to drive B2B sales efforts for exploring new Business avenues for the online stock broking business.Responsibilities:- Responsible for building and managing partnerships with affiliates, online influencers, and other similar associations.- Responsible for business parameters including customer...

Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on

Apply for Associate, Compliance, Career Progress Consultants in Mumbai ,Pune ,Bengaluru/ Bangalore for 3 - 5 Year of Experience on TimesJobs.com.

Looking to connect with Legal Professionals for an Exciting opportunity!Our client, a leading MNC company in #mumbai, is seeking a talented professional with 4-6 years having prior experience of working on anti-bribery, anti-corruption and anti-modern slavery, sanctions due diligence and working with global teams. Prior experience in training teams about the...

 Trade Settlement & Operations Job Responsibilities: Require candidates from Stockbroking or Asset Management companies and Indian Broking companies. Managing the setup of the PMS client account with the Custodian Orbis, Managing the PMS trade confirmation and allocation Coordinating with the custodian on a daily basis for PMS trade...

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together. **YOUR CHALLENGE**: - Provide Legal Support to the India Legal & Compliance Team and to internal teams including Sales,...

Responsible to generate brokerage primarily through advising clients on their equity portfolio - Punching orders on terminal on behalf if clients - Develop and maintain a long term relationship with customers to maintain a high level of retention of the existing customers and focus on generating new business - Will need to be constantly updated with the...

Role: Involves ensuring compliance with SEBI & other applicable rules and regulations of the stockexchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, clientcommunications, monitoring operations, reporting, empanelment, liaising with back office ofinstitutional cum HNI clients, other day to day back office work...