Risk Management Specialist
2 weeks ago
Job Title: Risk Management Specialist
Company Overview: WorkQuest India is a leading provider of innovative financial solutions, seeking a highly skilled Compliance Officer to join our team.
Estimated Salary: ₹ 800,000 - ₹ 1,200,000 per annum, depending on experience.
Job Description:
We are looking for a seasoned Compliance Officer to oversee the implementation and maintenance of regulatory requirements in our stock broking company. The ideal candidate will possess extensive knowledge of SEBI regulations and have hands-on experience managing risk and compliance for financial services firms.
Responsibilities:
- Ensuring compliance with Exchange/SEBI Regulations and reporting regularly.
- Experience in handling Audit (Concurrent and Internal) and Enhanced Supervision submission and Funds Settlement.
- Responsible for management of business reporting and ad hoc reporting from time to time.
- Addressing internal queries, data requirements, and escalations.
- Manage and control overall functioning and supervision of Depository operations.
- To manage, train, and control teams responsible for processing products.
- Manage NSE/BSE/CDSL and SEBI inspection and data submission.
Requirements:
- Possess a CS/LLB/MBA degree.
- Minimum 1-5 years of work experience in stock broking and DP operations.
- Experience in back office/DP-operations work in a Stock broking/Securities firm, Mutual Fund, etc.
- Experience in Equity & F&O - operations, Demat.
- Experience in working in the Broking Industry.
- Experience in CDSL/NSDL DP System.
- Be agile and highly collaborative, communicate effectively.
- Strong analytical acumen and problem-solving skills.
- Demonstrate deep understanding of stock broking business.
- Be highly data-driven and adept at balancing needs with business goals.
- Skilled in building and managing business alliances.
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