Broking Compliance Officer

Hiring for a leading CA firm for Mumbai Location.Roles & Responsibilities➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements.➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.➢ Perform detailed audits of broking activities, including...

Hiring for a leading CA firm for Mumbai Location. Roles & Responsibilities ➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements. ➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues. ➢ Perform detailed audits of broking activities,...

Hiring for a leading CA firm for Mumbai Location. Roles & Responsibilities ➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements. ➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues. ➢ Perform detailed audits of broking...

As a Senior Compliance Officer, you will play a critical role in ensuring that our organization adheres to all applicable regulatory requirements. You will oversee the end-to-end compliance and surveillance function related to stock broking business.">ResponsibilitiesOversee and manage end-to-end compliance and surveillance functions for the stock broking...

Opportunity to work with a leading stock broking firm in Mumbai, Andheri East.Experience Required:● 5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)● Proven track record of managing regulatory compliance and dealing with SEBI inspections.●...

We are seeking a talented individual to join our Insurance Broking team at company. This role will be based in Mumbai. This is a hybrid role that has a requirement of working at least three days a week in the office.We're seeking for an individual who is ready to assist the onshore broking team in all aspects of client service, including client contact,...

Insurance Broking Specialist Job SummaryWe are seeking a skilled professional to join our team as an Insurance Broking Specialist. This role will be based in Mumbai, India.This is a hybrid position that requires working at least three days a week in the office.Key Responsibilities:Support the onshore broking team with client service tasks, including...

Compliance Officer Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3).- Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA,...

1. Leadership & Strategy:Define and implement the strategic vision and roadmap for the stock broking vertical in alignment with the company's long-term goals.Build, mentor, and lead a high-performing team, fostering a culture of innovation, performance, and compliance.2. Sales, Revenue & Growth:Develop and execute a high-impact sales and distribution...

We are seeking a talented individual to join our Insurance Broking team at company. This role will be based in Mumbai. This is a hybrid role that has a requirement of working at least three days a week in the office. We're seeking for an individual who is ready to assist the onshore broking team in all aspects of client service, including client contact,...