Compliance Officer-stock Broking

Job DescriptionAt Leading Securities Broking, we are seeking a highly experienced Internal Audit Lead to join our team. This is an excellent opportunity for a professional with a strong background in internal auditing, particularly in the stock broking and BFSI sectors.Key Responsibilities:Lead internal audits as per the annual audit plan, evaluating the...

**URJA INVESTMENT LIMITED** **DEALER** **FOR** **BROKING** **Responsibilities**: A Dealer in a broking firm plays a vital role in executing trades on behalf of clients, managing risk, and ensuring compliance with market regulations. Here's a job description for a Dealer in a broking firm: **1. Execution**: Execute buy and sell orders for clients in...

Job description We are Urgently looking for DP EXECUTIVE FOR STOCK BROKING location based at Barakhamba Road, New Delhi. Role & Responsibilities: - Handle Depository Participant stocks Pay In / Pay out - De-mat Account Opening - Pledge Re-pledge Process - Annual Statement Process Branch Co-ordination - All Day to Day Operation and Controlling of Whole...

Job description We are Urgently looking for DP EXECUTIVE FOR STOCK BROKING location based at Barakhamba Road, New Delhi. Role & Responsibilities: - Handle Depository Participant stocks Pay In / Pay out - De-mat Account Opening - Pledge Re-pledge Process - Annual Statement Process Branch Co-ordination - All Day to Day Operation and Controlling of Whole...

Profile: Broking Compliance Qualification: CS,LLBExperience: 8 to 10 yearsLocation: MumbaiJob descriptionKey Responsibilities:1. Regulatory Compliance & Reporting:- Ensure strict adherence to SEBI regulations, stock exchange rules, and other regulatory requirements related to stock broking.- Oversee SEBI and stock exchange reporting requirements,...

We are seeking a seasoned Audit Leader to join our team at Leading Securities Broking in Mumbai. This is a fantastic opportunity for an experienced professional to take on a leadership role and drive the internal audit function.Key Responsibilities:Lead internal audits as per the annual audit plan, evaluating the adequacy and effectiveness of internal...

About Company: It is a wholly owned subsidiary of a listed organization offering a wide range of products and services to meet its customer's financial requirements and establishing a strong presence in the financial services sector. Job Summary: The role involves overseeing and managing all Compliance and Regulatory matters related to RTA & broking...

He should have a wide range of responsibilities, which can include: Must have the knowledge of share accounting Must have the knowledge of financial accounting Must have the knowledge of banking - Prepare reports and presentations/ GST, Balance sheet, Profit and Loss accounts manage accounts and ensure timely payments **Requirements**: Bcom/ Mcom Degree(...

About Zuari Management Services Limited: We are a wholly owned subsidiary of a listed organization offering a wide range of products and services to meet our customer's financial requirements and establishing a strong presence in the financial services sector.Job Summary: The Compliance Officer will be responsible for overseeing and managing all Compliance...

**Responsabilities**: - Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities. *Assisting to internal auditors for conducting...

About Zuari Management Services Limited: As a wholly owned subsidiary of a leading organization, we offer a wide range of products and services to meet our customers' financial requirements, establishing a strong presence in the financial services sector.Estimated Salary: ₹30-40 lakhs per annumJob Summary: The Compliance Officer will oversee and manage...

**Total years of Experience: 1-2 years** Communicating intra-day trading calls and investing ideas to customers. Monitoring day to day operations at Branch. Maintaining regular relations with clients. Individually operate NSE / BSE terminals. Thorough knowledge of all NSE / BSE rules & regulations and Compliance. Ability to advise the clients from time to...

**Salary** **- 15k to 20k per Month **Industry** **- Broking House **Role/Position** **- Equity Dealer **Keyskills** **- Able to manage the terminal How to use Software **No. of Vacancy**: 5 - **Job Location**: Delhi**Karvy Stock Broking** **Company Profile** Broking House**Contact Details** **Contact Person**: - Nidhi Bala

Job Description: BranchManager Leading StockBrokingLocation:DelhiPositionOverview: The company is seeking an experienced anddynamic Branch Manager to lead our branch operations and drivebusiness growth. The ideal candidate will be responsible formanaging daytoday activities ensuring excellent client service andachieving sales targets while fostering a...

About Us:Pune E Stock Broking Limited (PESB) is a dynamic brokerage firm with a strong focus on innovation and client satisfaction. We manage a diverse portfolio and are committed to becoming a leading institution in the stock market industry.Role:Role:We are seeking a skilled System/Network Engineer to join our team. The ideal candidate should have a strong...

**Salary** **- As per Industry Norms **Industry** **- Financial Company **Role/Position** **- Stock Market Operations **Keyskills** **- NISM certificate required. Good Communication Skills. Proficient In MS- Excel.Any graduate**No. of Vacancy**: 20 - **Job Location**: KarolBagh,Delhi**Farsight Group** **Company Profile** A leading broking house in New...

Title: Stocks & Derivatives TraderThis is a research-oriented role for a leading stock broker in India. You’ll find yourself researching the market, analyzing chart patterns, and making sense of raw data.Qualifications:Minimum 2 years of experience as a stock and derivatives traderShould understand stock charts, trendlines, and candlestick patternsMust be...

Title: Stocks & Derivatives TraderThis is a research-oriented role for a leading stock broker in India. You’ll find yourself researching the market, analyzing chart patterns, and making sense of raw data.Qualifications:- Minimum 2 years of experience as a stock and derivatives trader- Should understand stock charts, trendlines, and candlestick patterns-...

**Salary** **- NEGOTIABLE **Industry** **- BROKING Industry **Role/Position** **- Equity Dealer **Keyskills** **SKILLS & KNOWLEDGE 1. Responsible to generate brokerage primarily through advising clients on their equity portfolio for long term investments as well as positional trading ideas in stocks for short/ medium term. 2. Develop and maintain a...

Title: Stocks & Derivatives TraderThis is a research-oriented role for a leading stock broker in India. You’ll find yourself researching the market, analyzing chart patterns, and making sense of raw data.Qualifications:Minimum 2 years of experience as a stock and derivatives traderShould understand stock charts, trendlines, and candlestick patternsMust be...