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Compliance Officer- Stock Broker

2 months ago

Mumbai, India Recruit Assist Full time

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 per Exchange guidelines.
Intra department and Exchanges queries/ requirements and clarifications
(RMS/ Settlement/ AOT/ PMS/ Franchisee Team/ Institution Team/
Branches/ Legal Team.)

**Job Types**: Full-time, Regular / Permanent

**Salary**: ₹25,000.00 - ₹35,000.00 per month

Schedule:

- Day shift

**Experience**:

- Broking Compliance: 3 years (required)

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