Trainee - Stockbroking Compliance

1 day ago

Pune Maharashtra, India Trdez Investment Pvt. Ltd. Full time

**Company Overview** TRDEZ is a fast growing Stockbroking and Advisory firm operating out of Pune with an experienced team of professionals from the areas of Financial services and Technology management. It strives to build a culture is driven by values. The firm is constantly learning, responsive and atypical. It also strives to provide the best experience for its customers and surrounds itself with passionate people who focus on getting things done. Trust, transparency & dedication are important to the company. **Job description** As a part of our MTP (Management Training Program) a full time Compliance Trainee who is willing to learn and contribute in different areas such as Stockbroking Compliance, Taxation, PMLA - Anti Money Laundering etc to enable both self growth as well as growth of the firm. Initial period will be dedicated to on-job training, later followed by learning through hands on experience. Benefits: Opportunity to create a niche for yourself by gaining experience in one of the most sought after and high paying industries in the world. **Responsibilities**: - Manage the compliance requirements as per new regulatory guidelines from Stock Exchanges, RBI, SEBI, AMFI - Work closely with business, legal, risk, and audit functions to regulate compliance matters - Assess and measure compliance and related risks, and monitor and test the adequacy of the firm - Maintain oversight of the developments in the Stock Broking regulatory environment to proactively manage the potential regulatory risk/aml risk/kyc risk /ops risk / exposure of affected divisions/departments - Focus on self - learning and development on all relevant guidelines in the areas of financial services products especially Stockbroking - Educate staff on regulatory compliance issues and acting as point of contact for all regulatory compliance queries from staff - Perform gap analysis on new/revised guidelines issued by regulators and follow up on action plans on the implementation A job at this level requires good team playing skills and: - Understanding the need & importance of compliance in stockbroking - Ability to understand and analyse complex information - Good communication skills - Good mathematical and IT skills - Zeal, confidence and decision-making ability - Calmness under pressure - Drive and determination - High attention to detail - Good judgement of risks - Honest and a trustworthy attitude - Fresher with Accounts, B.Com, MBA background - Good all round academic performance - Proficiency with Microsoft Office - Fluency in English **Compensation & TnC** - Initial training period: 6 months - Stipend during training: Ten thousand per month - CTC post training: 3.5 LPA - Bond tenure is 18 months (If service

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