Compliance Assistant

3 days ago


Rajkot, India Alphanso Technology Full time

**Qualifications**
- CA/CS/MBA(Finance)

**Full Job Description**

**Roles & Responsibilities**:

- Should have a sound understanding of financial markets and SEBI laws
- Responsibility for handling Trading, DP, Back Office, RMS, and Exchange & Listing Compliances
- Monitoring day-to-day exchange compliance
- Regular watch and reply to Alerts generated by exchanges
- _Liasioning _with the Exchanges, Depositories, and Regulators
- Study and keep track of Circulars and Regulations
- Reply to Surveillance/ Show cause notices & Adjudicating Orders of SEBI / BSE/ NSE/ MCX/ CDSL and keep track of the same in a timely manner
- Branch and Franchisee visit for Quarterly Audit
- Following Compliance of audit checklist as per Exchange guidelines
- Daily/Weekly/Monthly/QTY/HY/Annual Reporting to SEBI/Exchanges/Depositories
- Intra department and Exchanges queries/ requirements and clarifications. (RMS/ Settlement/ DP/KYC/Banking/Account/Branches/Legal Team.)
- Handling client queries / audit queries / inspection queries
- various procedures involved in stock broking

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

**Salary**:₹25,000.00 - ₹35,000.00 per month

**Requirements**:

- Skilled in MS Excel, Outlook and Word
- Understanding of stock broking operations
- NISM Certification

**Experience**:

- 0-3 years, Fresher’s may also apply

**Salary**: ₹25,000.00 - ₹35,000.00 per month

**Benefits**:

- Flexible schedule
- Paid sick time

Schedule:

- Day shift

Supplemental pay types:

- Yearly bonus

Ability to commute/relocate:

- Rajkot, Gujarat: Reliably commute or planning to relocate before starting work (required)



  • Rajkot, India Caregrowth Broking Full time

    **Assistant Compliance Officer**: **Department**: - Compliance**Vacancy**: - 1**Qualification**: - CA / CS**Minimum Experience**: - 1 or 2 Years**Job Profile**: - Experience of working in stock market compliance areas and having through knowledge and experience in various exchange filling and preparation of various exchange reporting.


  • Rajkot, Gujarat, India MARWADI SHARES & FINANCE LTD Full time

    Assistant(Audit & Compliance) Marwadi Shares and Finance Limited. Marwadi was established in 1992 at Rajkot, Gujarat. It is a well-diversified group into Financial Services, Education and Solar energy. Currently employing more than 2000 employees as a Group Marwadi Financial Services is the financial services arm of the Marwadi Group and is having 800 plus...

  • Company Secretary

    1 week ago


    Rajkot, India KUSA MANAGEMENT CONSULTANCY PRIVATE LIMITED Full time

    **JD For Company Secretary & Legal** - **Drafting of Agenda and Minutes for Board, Committees and General meetings**: - **Preparation of Annual report and coordination with other departments for the same**: - **ROC forms filing with the regulatory authorities in compliance with Companies Act, 2013, FEMA Regulations**: - **Assisting in Company Secretarial...

  • HR Assistant

    3 days ago


    Rajkot, Gujarat, India Sumo Polyplast Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Job Title: HR AssistantResponsibilities:Assist in recruiting, interviewing, and hiring staff.Manage employee onboarding and orientation.Administer employee benefits programs (health, retirement, etc.).Handle employee relations, addressing issues and concerns.Ensure compliance with labor laws and company policies.Maintain employee records and HR...


  • Rajkot, India Hirjal Marine Products LLP Full time

    Company DescriptionWe Hirjal Marine Products LLP are renowned Fish Meal and Fish Oil Manufacturer from Gujarat, India. We are among top 10 manufacturers and exporter of Fish Meal from India looking for full time Assistant Finance Administartor for our head office located at Rajkot, Gujarat, India.Role DescriptionThis is a full-time on-site role for an...


  • Rajkot, Gujarat, India STP Web Hosting Full time ₹ 1,20,000 - ₹ 1,44,000 per year

    Job Title: Assistant Accountant (Fresher)Location: Dr. Yagnik Road, RajkotJob Type: Full-timeSalary: ₹10,000 - ₹12,000 per month (Increased to ₹15,000 after 3 months)Experience: FresherQualification: Open to all educational backgroundsJob Description:We are looking for a motivated and detail-oriented Assistant Accountant to join our team in Rajkot....


  • Rajkot, Gujarat, India J K Consultancy Full time ₹ 3,00,000 - ₹ 6,00,000 per year

    Company DescriptionJ K Consultancy is a leading outsourcing service provider in Rajkot specializing in bookkeeping, payroll management, and data processing. Operating as a knowledge process outsourcing (KPO) firm, J K Consultancy serves clients with excellence and efficiency. Our team includes experienced US bookkeepers and payroll managers in India,...


  • Rajkot, Gujarat, India Captain Tractors Pvt. Ltd. Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Company DescriptionCaptain Tractors Pvt. Ltd. is a leading manufacturer and exporter of compact tractors in India, catering to small farmers with affordable and high-quality mini tractors. Since 1994, our rugged, fuel-efficient, and eco-friendly compact tractors have been rigorously tested to meet industry standards and customized to meet customer demands....


  • Rajkot, Gujarat, India THE DML GROUP Full time ₹ 2,16,000 per year

    Job Summary:We are looking for a detail-oriented and responsible Accounts Assistance Executive to support our accounts and finance department. The candidate will assist in day-to-day accounting tasks, maintain financial records, handle documentation, and ensure accuracy in reporting.Key Responsibilities:Assist in preparing and maintaining daily accounting...

  • Assistant HR Manager

    2 weeks ago


    Rajkot, India K9HR Solutions Full time

    k9hr solutions is looking for assistant hr manager who is known to recruitment, payroll, legal compliances (pf, factory act, iso...etc.), hr policy making, training, kra-kpi, culture development, documentation, general administration independent working, proactive working style, risktakerExperience4 - 6 YearsNo. of Openings1EducationAny Bachelor...