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Broking Compliance
2 weeks ago
Compliance Mumbai _Mumbai_ April 17, 2023 - April 17, 2024 Financial Services
**Job Overview**:
- **Office Location (Area) **Mumbai
- **Salary Offer **7- 8 LPA
- **Course Type **Full Time
- **Min Required Experience (Years) **3
- **Max Required Experience (Years) **0
To be aware of all Circulars and Regulations
Surveillance/ Show cause notice and Adjudicating Orders (SEBI/ BSE/ NSE/
MSEI/ MCX/ NCDEX/NSDL/CDSL) - Addressing and replying to the same
within defined timelines.
Branch and Franchisee visit for Quarterly Audit -following Compliance of
audit checklist as per Exchange guidelines.
Intra department and Exchanges queries/ requirements and clarifications
(RMS/ Settlement/ AOT/ PMS/ Franchisee Team/ Institution Team/
Branches/ Legal Team.)
Liasioning with the Exchanges, Depositories and Regulator
**How To Apply**:
**m**:(+91) 7506937386|
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