Broking-compliance

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...

Exchange related compliance and documentation (BSE, NSE, MCX ETC) - SEBI compliance for stock brokers. Only PROP. - Other day to day exchange related queries and documentation. - All other compliance and exchange related tasks. - Must know how to communicate with NSE and other exchanges for day to day back office work and compliance. - SEBI circular...

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...

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...

 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...

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...

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...

Location - Mumbai Nature - Full Time Experience - Sound knowledge of managing broker and corporate relationships and should carry an experience in the field of General Insurance Industry **Job Description**: - Management of broking and direct corporate relationships for sourcing business. - Preparing monthly plans of business and implementing them for...

Company Description Mialtus Insurance Broking is an IRDAI-approved broker located in Goregaon. Our expert team has decades of experience and is dedicated to making the insurance process effortless for our clients, whether they are obtaining a quote or making a claim. Role Description This is a full-time on-site role for a Regional Business Head - Corporate...

Roles and Responsibilities A 28 years old broking firm in Mumbai is looking for a Product manger , who should be having at least 5+ years of relevant experience in Broking firm as a product manger.Should be good coordinator Desired Candidate Profile work from office 5+ years experience require as a product manger.should be good in strategy part and...

Roles and Responsibilities A 28 years old broking firm in Mumbai is looking for a Product manger , who should be having at least 5+ years of relevant experience in Broking firm as a product manger.Should be good coordinator Desired Candidate Profile work from office 5+ years experience require as a product manger.should be good in strategy part...

Company DescriptionMialtus Insurance Broking is an IRDAI-approved broker located in Goregaon. Our expert team has decades of experience and is dedicated to making the insurance process effortless for our clients, whether they are obtaining a quote or making a claim.Role DescriptionThis is a full-time on-site role for a Regional Business Head - Corporate at...

Job Description For Trainee Broking Audit - Minimum Qualification is Graduation. - Training will be given on the job - Assisting auditors with outstation audits for Male Only - Accommodation and travel expenses will be provided by the company. **Job Types**: Full-time, Fresher **Salary**: From ₹120,000.00 per year **Benefits**: - Health...

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...

Compliance Mumbai _Mumbai_ August 18, 2023 - August 18, 2024 Financial Services **Job Overview**: - **Office Location (Area) **Mumbai - **Salary Offer **Upto 15 LPA - **Required Education **Qualified as Company Secretary - **Course Type **Full Time - **Min Required Experience (Years) **4 - **Max Required Experience (Years) **5 **Position Title**: Manager/...

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...

**- Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc. - Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories. - Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections - Handling Regulatory Inspections & Internal Audit...