Broker Compliance

Job Description Anand Rathi Share and Stock Brokers Ltd seeks an individual to oversee Advertisement Code of Conduct approvals, encompassing both internal and exchange requirements. Roles and Responsibilities Ensure compliance with SEBI regulations for stock brokers (TCM), research analysts (RA), and portfolio management services (PMS). Promote adherence to...

Company Overview:Anand Rathi Share and Stock Brokers Ltd is a leading financial services company committed to providing exceptional brokerage services.We are seeking a highly skilled Regulatory Compliance Specialist to join our team. This role will be responsible for ensuring that all advertisement code of conduct approvals are handled in accordance with...

Job DescriptionWe have openings forCompliance Officer.- Salary: 30- 40k- exp:should 1-3 years of experience in Share Market / Stock Broking industry.- Location:Pathakwadi, MumbaiDetails:- Conducting CPE (Training Program) and Examination of all (Employees, Sub-brokers and AuthorizedPerson).- Taking care of documentation for empanelment with various financial...

Role- Compliance HeadReporting structure for the position- Managing DirectorJob Description- SEBI Stock Broking, PMS, Investment Advisors, Insider Trading related compliances- Provide training for Anti Money Laundering Standards to all Staff members- Ensuring compliance with the Code of Conduct for Prevention of Insider Trading- Answering any compliance...

About the RoleAssociate Manager – Compliance Support (Private Equity) Mumbai/Delhi NCR, India Morae Global seeks to find the best and brightest people – those who understand what it takes to deliver top-quality solutions for our clients.Responsibilities- Review employees' quarterly brokerage statements working across various geographical locations and...

About the Role As a key member of our team, we seek highly skilled and detail-oriented professionals to deliver exceptional solutions for our clients. Responsibilities Monitor employees' quarterly brokerage statements from various locations, identifying potential personal trade breaches to share with the onshore compliance team. Utilize internal tools to...

This is regarding opening with leading Fund Management company.Location: Mumbai, Ahmedabad and GandhinagarWorking Days: 5 Days, Work from officeExperience: 2 - 5 yearsJob Requirements:• A degree in Company Secretary (CS), Law (LLB), or any professional qualification or postgraduate degree in finance, accounting, business management, commerce, economics,...

This is an exciting opportunity to work with a leading Fund Management company based in Mumbai, Ahmedabad, and Gandhinagar. As a Compliance Officer, you will be working 5 days a week from the office. We are looking for individuals with 2-5 years of experience in the securities market or financial products. Job Requirements A degree in Company Secretary (CS),...

This is regarding opening with leading Fund Management company.Location: Mumbai, Ahmedabad and GandhinagarWorking Days: 5 Days, Work from officeExperience: 2 - 5 yearsJob Requirements:• A degree in Company Secretary (CS), Law (LLB), or any professional qualification or postgraduate degree in finance, accounting, business management, commerce, economics,...

This is regarding opening with leading Fund Management company.Location: Mumbai, Ahmedabad and GandhinagarWorking Days: 5 Days, Work from officeExperience: 2 - 5 yearsJob Requirements:• A degree in Company Secretary (CS), Law (LLB), or any professional qualification or postgraduate degree in finance, accounting, business management, commerce, economics,...

This is regarding opening with leading Fund Management company.Location: Mumbai, Ahmedabad and GandhinagarWorking Days: 5 Days, Work from officeExperience: 2 - 5 yearsJob Requirements:• A degree in Company Secretary (CS), Law (LLB), or any professional qualification or postgraduate degree in finance, accounting, business management, commerce, economics,...

Looking for person who can handling Advertisement code of conduct approvals - internal and exchange approvalsRoles and Responsibilities:To handle advertisement code of conduct regulations for all verticals includingSEBI Stock broker regulations – TCMSEBI Research Analyst regulations – RASEBI Portfolio Management regulations – PMSAMFI MF distribution...

Job DescriptionCompany OverviewWings Global Services stands at the forefront of engineering innovation, delivering transformative services across diverse industry landscapes, including oil & gas, manufacturing, IT, and architecture. Known for integrating automation with cross-sectoral expertise, we offer engineering solutions that redefine operational...

Job OverviewWe are seeking a highly skilled Compliance Risk Specialist to join our team at Navinder Bawa (Proprietor Of HR Desire). The ideal candidate will have a strong understanding of regulatory compliance and risk management in the financial industry.About the RoleThe successful candidate will be responsible for developing and maintaining compliance...

About the Role:The ideal candidate will have 3+ years of work experience in a leading consulting firm, with expertise in SEBI compliances.Responsibilities:Lead SEBI, NSE, and BSE inspections to ensure strict regulatory compliance.Oversaw Audit and Compliance Assurance for SEBI-registered intermediaries, including Stock Brokers, DPs, Investment Advisers, and...

Locations- Mumbai & GurugramOister Global (www.oisterglobal.com) is India's premier Alternative Assets Manager.We combine robust diligence, deep domain expertise, and an extensive network to createhigh quality private market opportunities for our investors.We are seeking a highly skilled and experienced Company Secretary / Complianceprofessional to join our...

Locations- Mumbai & Gurugram Oister Global ( is India's premier Alternative Assets Manager. We combine robust diligence, deep domain expertise, and an extensive network to create high quality private market opportunities for our investors. We are seeking a highly skilled and experienced Company Secretary / Compliance professional to join our team at Oister,...

Oister Global, India's premier Alternative Assets Manager, seeks a highly skilled Corporate Compliance Expert to join its dynamic team. The ideal candidate will play a crucial role in ensuring corporate compliance, governance, and efficient administration of company affairs. The key responsibilities include:Ensuring compliance with SEBI Regulations...

We are seeking a highly skilled Regulatory Affairs Manager to join our dynamic team at Oister Global, India's premier Alternative Assets Manager. The ideal candidate will play a crucial role in ensuring corporate compliance, governance, and efficient administration of company affairs. The key responsibilities include:Key Responsibilities:Ensure compliance...

Function  : Compliance (Merchant Banking Division) Location  : Mumbai Qualifications: Qualified as Company Secretary with LLB or CA degree preferred Work Experience  (highlight) : Work experience of 8-10 years and above. Must have exposure & experience in managing compliance aspects and understanding & awareness about financial service...