Am - Compliance (Broking)

6 days ago

Bengaluru, India Wealthy Full time

**About us**:
Wealthy is making Wealth Management accessible through its online platform and a network of advisors (called Wealth Partners). Founded by two friends who met at IIT, our young team of 40 employees cuts across the intersection of tech, finance, and business.

Our team has attracted good talent over the past years, and our business leaders come from well-established companies like Morgan Stanley, Citibank as well as tech startups like OLA, Belong, Digio, etc. The company has so far raised $9mn from Tier-1 investors and serves ~2,000+ advisor-partners and ~50,000+ end-customers across the country.

- Ensuring compliance requirements as per Exchange/SEBI Regulations.
- Ensuring Exchange / SEBI reporting regularly.
- Experience in handling Audit i.e Concurrent and Internal audit.
- Ensuring Enhanced Supervision submission and Funds Settlement.
- Responsible for management of business reporting and any ad hoc reporting from time to time. Proficient knowledge of MS Excel/ppt is a must
- Addressing internal queries, data requirements and escalations
- Manage and control overall functioning and supervision of the Depository operations.
- To manage, train and control teams responsible for processing all the above products.
- Manage NSE/BSE/CDSL and SEBI inspection and data submission.
- To be a part of India's highly disruptive fin-tech wave.

**Requirements**:

- Preferably be a CS/LLB/ MBA
- Have minimum **1 TO 5** years of work experience in stock broking and DP operations
- Experience of 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 Broking Industry.
- Experience in CDSL/NSDL DP System
- Be agile and highly collaborative, communicate impressively
- Strong analytical acumen and problem solving
- Demonstrate deep understanding of stock broking business
- Be highly data-driven and adept at balancing needs with business goals
- Be skilled in building and managing business alliances
- Thrive in a competitive and a result-oriented work environment

**Job Information**:
Industry

**Financial Services**
***

Work Experience

**1-3 years**
***

City

**Bangalore South**
***

State/Province

**Karnataka**
***

Country

**India**
***

Zip/Postal Code

**560102

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