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...

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...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations.The candidate should have Strong acumen in...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...

**Job Summary:**We are seeking a highly experienced Senior Compliance Officer to join our team at Mangalam Placement Pvt Ltd in Mumbai. As a key member of our compliance department, you will be responsible for ensuring the company's adherence to regulatory requirements and maintaining a strong risk management framework.**Key Responsibilities:Regulatory...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...

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...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...

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...

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– Compliance Qualification: Any Graduate, MBA Experience: 10 to 12 years Location: Mumbai JOB DESCRIPTION /RESPONSIBILITIES Key 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...

Position: Sr. Manager/AVP– Compliance Qualification: Any Graduate, MBA Experience: 10 to 12 years Location: Mumbai JOB DESCRIPTION /RESPONSIBILITIES Key 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...

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...

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...

ICICIDirect is seeking an experienced Chief Compliance Officer for its broking operations. This senior role will be responsible for ensuring the company's compliance with relevant laws and regulations.Job SummaryWe are looking for a highly skilled professional to lead our compliance function, providing guidance and support to ensure that our business...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...

The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in...