Stock Exchange Compliance Officer

**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...

Roles and Responsibilities: - 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...

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...

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...

**Location** Mumbai **Experience** 1-2 Years **Key Skills** Compliance, Stock Exchange, SEBI, Company Secretary, Companies Act, Company Law, Corporate Governance **Position: Company Secretary & Compliance Officer** **Qualification: CS** **Experience: 0 to 1 years** **Location: Mumbai** - CS professionals have been authorized to verify compliances and...

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...

SCOPE OF WORK : DP Head and Compliance Officer: - VAR File Updating (Pledge & MTF Module). - MTF Report Checking. - Holding Statement Reporting to All Exchanges. - Creation of Pledge - Release of Pledge - Pledge & Re-Pledge Reconciliation. - MTF Stock Reconciliation. - Margin Reporting Checking. - Valuation of Securities & Margin Verifying for Segregation...

Liasioning with the Exchanges, Depositories and Regulator Study and keep track of Circulars and Regulations Reply to Surveillance/ Show cause notices & Adjudicating Orders of SEBI / BSE/ NSE/ MSEI/ MCX/ NCDEX/NSDL/CDSL and keep track of the same in a timely manner Branch and Franchisee visit for Quarterly Audit -following Compliance of audit checklist as...

The variation of grades within the family will depend on the complexity of the services and tasks required Key Responsibilities - Works within the Executive Function in a cohesive manner - Provides administrative and organisational support to the function & Senior leaders as assigned from time to time by the function - Standard diary management. - Arranging...

Designation: - COMPANY SECRETARY & COMPLIANCE OFFICER - Location: - Mumbai, India - Experience: - 7- 10 years or Past Experience of NSE / BSE Listed Companies - Qualification: - Graduate (any) & CS - Process: - CS & Legal - Role & Responsibility1, - Arranging and conducting Board Meetings, Committee Meetings & General Meetings (AGM & EGM) as specified...

**Job ID**: Compliance Officer **Role**: Compliance Officer **Department**: Compliance and Legal **Location**: Andheri East, Mumbai, Maharashtra **Designation**: Manager - AVP **Reporting structure for the position**: Managing Director **No of Position Vacant**: 1 - Ensuring compliance with all rules & regulations framed by regulatory authorities like...

**About the company**: Launchpad Fintech Private Limited, having brand name Bondsindia, is a technology-based startup to provide solutions in the wealth management space using technology as a medium. We are engaged in the business of providing financial services and IT Solutions. We are registered as stockbroker in New Debt Segment of BSE Limited....

Role: 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 office...

As a Compliance Officer at NSE, BSE, MCX & CDSL your primary responsibility will be to ensure that the organisation’s operations and activities adhere to regulatory standards, industry guidelines, and internal policies. You will play a critical role in maintaining the integrity of the exchange and upholding a culture of compliance. **Key...

Look into and resolve investor grievances/complaints - Address legal and arbitration cases - Manage operational and regulatory compliance - Quarterly Settlement of all clients - Ensure proper compliance under the SEBI act, SCRA, Rules and Regulations & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai, and circulars issued by...

We are hiring for COMPANY SECRETARY & COMPLIANCE OFFICER (Qualified CS) Location - Kalina, Santacruz East Company - Manufacturing - BSE Listed company 1. Arranging and conducting Board Meetings, Committee Meetings & General Meetings (AGM & EGM) as specified in the Companies Act or as may be called by the board in a stipulated time period. 2. Pre Meeting...

Job Profile:1. To ensure the compliance with the following regulations:- SEBI (Stock-Brokers) Regulations, 1992 and circulars/ notifications issued thereunder.- SEBI (Non-Convertible Securities) Regulations, 2021 to the extent it is applicable to the functioning and operations of Stock-Brokers and/or Online Bond Platform Providers.- SEBI (Intermediaries)...

Years of Experience: 6-8 years Qualification-: Qualified CS / LLB Work location: Lower Parel CTC - Best in Industry Job Description - Compliance Officer 1. Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013,...

Available Vacancy for Full time job Required skills - Well versed with margin requirements for all segments and type of trades. - Reporting requirements / obligations related to margins. - Daily, Weekly, Monthly, Quarterly, Half Yearly ,Annual compliances - Exchange portals and back office software. Experience : expected 3-10yr **Job Types**: Full-time,...

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...