Compliance Officer- Broking Firm

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...

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 /...

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...

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...

stock trading, Trading operator for stock broking firm **Salary**: ₹8,086.00 - ₹12,000.00 per month Schedule: - Day shift **Education**: - Bachelor's (preferred) **Experience**: - Microsoft Office: 1 year (required) - total work: 1 year (required) **Language**: - Hindi (required) - English (required) Ability to Commute: - Vashi, Navi Mumbai -...

Industry Type: CA Firm **About**: Its practice covers diverse areas of litigation and advisory work on various securities, corporate, commercial,civil and business and mercantile laws.These include matters of takeovers, insider trading laws, market manipulation, delisting, prevention of money laundering provisions and other such regulations. This firm also...

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 hiring for DP back office executive Location - Nariman Point Key Responsibilities: Involves ensuring compliance with SEBI & other applicable rules & regulations of the stock exchanges i.e BSE/ NSE & CDSL. Daily settlements, Account opening & KYC, Reporting, Empanelment, Liaising with Backoffice in Institutional cum HNI clients, and other day to day...

Industry Type: CA Firm **About**: Its practice covers diverse areas of litigation and advisory work on various securities, corporate, commercial,civil and business and mercantile laws.These include matters of takeovers, insider trading laws, market manipulation, delisting, prevention of money laundering provisions and other such regulations. This firm also...

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...

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...

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...

 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...

Job Description: Minimum experience of 2 years in banking or financial services, handling Audit/Finance/Compliance/ Legal/Operations/Risk Management functions Develop and maintain the firm's compliance program, including policies, procedures, and controls to ensure compliance with all applicable laws, regulations, and industry standards. ...

Major Deliverables:- Responsible for all compliance, regulatory, policies and processes as applicable. - Implementing and managing the compliance framework of the company. - Identify root causes of non-compliance events. Provide recommendations on corrective actions. - Identify various risks and prepare the risk framework of the company. Evaluate the...

Job Location- Mumbai- Experience (in Years)- 3 - 7- Job Type- Full Time**Job Description**: Core Purpose of the Role: - This role reports to the Compliance officer with a primary objective to effectively manage and run a fully compliant business in the highly regulated business of financial services. The role extends across all group entities & businesses....

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...

We are looking for Head – Family Office/Corporate Broking ( Leadership role).This desk is part of Institutional EquitiesCurrently, there are 8 advisors/dealers on this desk.Looking for candidates having relationships with family office clientele who can help generate broking revenues from these clients.Segment/Clients that he/she will cater to :This person...

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...