Compliance Officer-stock Broking

3 days ago

Connaught Place Delhi Delhi, India Urja Global Full time

**COMPANY NAME- URJA INVESTMENT PRIVATE LIMITED**

**EXPERIENCE- 4-12 Years Stock Broking**

**DESIGNATION- Compliance Office**

**QUALIFICATION- **Graduation/Master’s Degree in Finance and Accounting

**TIMING- **9amTo 6pm

**Company Overview**:Urja Investments Limited is part of the Urja Global Limited which is one of India’s leading Renewable Energy developers and operators. Urja Investments Limited is one of the broking and investment company facilitates the buying and selling of financial instruments on behalf of clients. Urja Investments offer a range of services, including stock and bond trading, investment advisory, wealth management, and financial planning. Their goal is to help clients achieve their financial objectives by providing expertise in market analysis, investment strategies, and portfolio management. Broking firms earn revenue through commissions, fees, and spreads on transactions. Success in the industry often hinges on staying abreast of market trends, delivering personalized financial advice, and maintaining regulatory compliance.

**Job Overview**: We are looking for a talented and motivated Compliance Officer.

Job Responsibilities:

- Knowledge of Share Market/Trading Platforms.
- Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by CDSL.
- Prior Compliance experience of 2-3 years with a reputed Brokerage Firm.
- Good communications and verbal skills.
- Timely reporting for fraudulent and unsolicited trades.
- In depth knowledge of Back Office reporting and Client On-Boarding and Registration.
- Regulatory inspections of commodity & Stock market.
- Person should be well versed with internal audits, DP audits, special and spot inspections, verification of data sub-mitted by all depts.
- Coordination and Exchange submission, sending suitable reply to the regulatory authorities.
- Shall be able to understand legal agreements.
- Well versed of suspicious transaction to FIU/CDSL/Stock exchanges.
- Handle client complaints.

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

Pay: ₹45,000.00 - ₹60,000.00 per month

**Benefits**:

- Cell phone reimbursement

Schedule:

- Day shift
- Monday to Friday
- Morning shift
- Weekend availability

Supplemental Pay:

- Yearly bonus

**Experience**:

- total work: 3 years (preferred)

Work Location: In person

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