Compliance Executive-stock Broking Industry

3 days ago

Ahmedabad, India Investmentor Securities Ltd Full time

We are seeking a highly motivated and detail-oriented Fresher Compliance
Executive to join our esteemed team at Investmentor Securities Ltd. As a Compliance
Executive, you will play a vital role in ensuring our adherence to
will work closely with our compliance team to maintain and enhance our
compliance framework.

**Investmentor Securities Ltd. is a fast-growing and leading full-service stock broker in Gujarat.** Supported by experienced research analysts, the company offers in-depth market analysis and research reports. Known for its advanced technology-driven approach, clients can trade conveniently using the user-friendly mobile app from anywhere. With a strong commitment to customer satisfaction, the company has established itself as a trusted name in the stock-broking industry, building a loyal client base.

**Job Description-**
- Assisting in financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.
- Assistance to Stock Brokers, DP's and other clients regarding compliances.
- Implementing various circulars issued by NSE/SEBI.
- Client Co-Ordination and assisting team for the various audits.
- Monitoring of compliance functions.
- Liasioning with exchanges on everyday basis.

**Required Qualifications-**
- Experience-6 months
- Inspection of NSE/BSE/SEBI would be an added advantage.

Note:

- This entry-level position is ideal for individuals with a minimum of 6 months of experience and a keen interest in the stock broking industry.

**Salary**: ₹15,000.00 - ₹35,000.00 per month

Schedule:

- Day shift

Supplemental pay types:

- Performance bonus

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