Avp - Stock Broking Compliance

**Responsibilities**: - Define, implement and manage operational processes as per regulatory framework to ensure exchange compliance. - Vendor management. - Able to build and manage teams for important functions like account opening, paying payout stock and funds, DP account, customer modification, RMS etc. - Responsible for customer support and seamless...

We are looking for Compliance Officer/ Executive Company - Stock Broking Location - Nariman Point Experience - 4 yrs 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 exchanges i.e....

We are seeking a highly experienced Compliance Director to lead our compliance function at FINVASIA, a prominent stockbroker.Role OverviewThe Compliance Director will be responsible for ensuring the organization's operations in both the stock broking and commodities sectors fully comply with all applicable regulatory frameworks and industry standards.This...

Client is 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...

We are hiring for Institutional Sales Company - Stock Broking Location - Thane, Nariman point Time: 8.30 am to 5:30 pm Workdays: 5 days Years of Experience: 5+ years (Stock Broking company) Must have a strong track record of building and maintaining relationships with institutional clients in the Broking Industry. He/she will be responsible for...

Job Title: AVP Broking Operations Location: Mumbai About Barclays Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate and investment bank, all...

Responsibility: KYC - To create and update client master in Broking and Exchange platforms Coordination a. Coordination with Trading and Risk Team for Terminal mapping and segment activation b. Coordination with Custodians, Clearing member, Banks CTCL Mapping Daily Contracting, Billing, margin reporting, EOD reporting and reconciliation of exchange...

Greetings from HRS! An urgent opening for the position of Sales Telecaller - Stock Broking Industry **Job Title: Sales Telecaller - Stock Broking Industry** Company Details: Renowned Stock Broking Company Position **:Sales Telecaller** **Job Overview**: As a Sales Telecaller in the stock broking industry, you will play a pivotal role in generating...

Position: Sr. Manager/AVP– ComplianceQualification: Any Graduate, MBAExperience: 10 to 12 yearsLocation: MumbaiJOB DESCRIPTION /RESPONSIBILITIESKey Responsibilities:- Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.- Manage all...

Position: Sr. Manager/AVP– ComplianceQualification: Any Graduate, MBAExperience: 10 to 12 yearsLocation: MumbaiJOB DESCRIPTION /RESPONSIBILITIESKey Responsibilities:- Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.- Manage all...

We are seeking a highly skilled Compliance Expert to join our team at ICICIDirect. As a key member of our compliance function, you will play a vital role in ensuring that our business operations align with regulatory requirements and industry standards.The ideal candidate will have a strong background in compliance, risk management, and auditing, with a...

**Roles and Responsibilities**: - Monitor and assist in implementation of regulatory circulars from authorities like SEBI, Stock Exchanges, Clearing Corporations and Depositories. - Assist and participate in the development and implementation of compliance policies and procedures. - Maintain a Compliance Calendar and Reporting to the Regulatory accordingly...

This is regarding the opening for leading diversified financial services.Job Title: Compliance Officer - Retail Broking & DepositoryLocation: MumbaiDepartment: Compliance/LegalJob Summary:We are seeking an experienced and motivated Compliance Officer with a strong background in Retail Broking, Depository, and stock Broking Compliance . The ideal...

Job Description:We are seeking an experienced Senior Risk Management Specialist to join our team at Lemonn, a leading online broking services provider. As a key member of our risk management team, you will be responsible for ensuring the effective implementation of risk management processes across all stock broking business operations.Key...

**Stock Broking (Demat Account Customer Service)** Education - Graduate Experience - 1+year Shift - Day Rotational Shift (7am to 12 midnight ) Week off - 1 rotational Location - MBP, Mahape Transportation - 1 way (pick or drop) **Females after 9pm** **Males after 12 midnight** Pay: ₹15,000.00 - ₹23,000.00 per month Schedule: - Rotational...

About UsLemonn is a pioneering stock investing app that makes the experience engaging, informative, and effortless. Our mission is to make investing simple and accessible to everyone, enabling them to own a share of India's growth story.We are a product of PeepalCo, a house of brands committed to Making Money Equal for All. Our online broking services are...

Profile: Broking ComplianceQualification: CS,LLBExperience: 8 to 10 years Location: 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, ensuring...

Profile: Broking Compliance Qualification: CS,LLB Experience: 8 to 10 years Location: Mumbai Job description Key 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...

Profile: Broking Compliance Qualification: CS,LLB Experience: 8 to 10 years Location: Mumbai Job description Key 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...

Profile: Broking ComplianceQualification: CS,LLBExperience: 8 to 10 years Location: 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, ensuring...