Compliance Officer

1 week ago

Mulund West Mumbai Maharashtra, India Rikhav Securities Ltd Full time

Responsible for regulatory compliance in a stockbroking business and regulatory audit
- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
- Manage all operational processes as per regulatory framework to ensure exchange compliance.
- Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
- Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
- Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
- Assisting in handling Investor Grievances as per regulatory guidelines.
- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.
- Liaising with SEBI, Exchanges, Depositories for routine matters
- Ensure process-oriented, TAT-driven process as per defined SOP.
- Mentor and monitor team to ensure high level of accuracy and timely execution.
- Handling regulatory audits of SEBI, Exchanges, etc.
- Any other compliance matters as assigned from time to time.

**Eligibility**:

- Excellent organizational skills, including time management, record keeping, self
- scheduling, and follow-up.
- Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.
- Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.

**Role**:Legal & Regulatory - Other

**Industry Type**:Financial Services (Broking)

**Department**:Legal & Regulatory

**Employment Type**:Full Time, Permanent

**Role Category**:Legal & Regulatory - OtherEducation

**PG**:M.Com in Any Specialization, LLM in Law, CS in CS, Any Postgraduate

Pay: ₹700,000.00 - ₹1,000,000.00 per year

**Benefits**:

- Flexible schedule
- Leave encashment

Schedule:

- Day shift

Supplemental Pay:

- Yearly bonus

**Experience**:

- total work: 5 years (required)

Work Location: In person

Application Deadline: 27/09/2024
Expected Start Date: 01/10/2024

  • Company Secretary

    1 week ago

    Mulund West, Mumbai, Maharashtra, India MITSU CHEM PLAST LTD. Full time

    **About company-** Mitsu Chem, a leading manufacturer of world-class plastic blow Molded and injection Molded plastic products. Our head office is in Mulund ( Mumbai, Maharashtra ) and three manufacturing units are located at Tarapur (2) and Khalapur (1).We are a BSE listed company having 300+ crore turnover. **Linkedin page**: **Overview**: The Company...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India HR tailor Full time

    Greetings from Team Management Services (TMS), an end-to-end HR consulting services firm!     We found your resume suitable for the position of Compliance Officer currently open with one of our clients in Mumbai, India.   Company Profile:     Our client provides a state of the art, payment gateway solution - an essential component of...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India CSAPL Full time

    ob Title: Compliance Officer Company Name - CapitalSquare Financial Services Private Limited Location: Mumbai Reporting To: Compliance Head / Senior Management About the Company: CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading...

  • Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India A9 Finsight Pvt Ltd Full time

    **Company Profile: A9 Finsight Pvt. Ltd. is an AMC. It is an investment manager of an AIF (Category III).** Job Profile **Job Profile**:Compliance Officer** **Responsibilities**: 1) Initiate, drive process rigor and accuracy, execute and manage compliance under Corporate & Other Laws. 2) Work with different stakeholders within and outside the business to...

  • Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India 1 Finance Full time

    P2P Lending Mumbai 4 - 8 Years Of Experience No. of Openings - 2 **Responsibilities**: - Perform data entry and maintain accurate records in internal systems - Handle documentation, filing, and backend processing tasks - Assist in preparing operational reports, dashboards, and MIS - Coordinate with front-office, finance, or compliance teams for...

  • Compliance Officer

    22 hours ago

    Mumbai, Maharashtra, India Worldline Full time

    Job Description - Compliance Officer **About Worldline** Worldline helps businesses of all shapes and sizes to accelerate their growth journey - quickly, simply, and securely. We are the innovators at the heart of the payments technology industry, shaping how the world pays and gets paid. Our technology powers the growth of millions of businesses across 5...

  • Compliance Officer

    7 days ago

    Mumbai, Maharashtra, India Weekday AI Full time

    This role is for one of Weekday s clients Min Experience 4 years Location Mumbai JobType full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4 years of experience in the financial services industry with a strong focus on Regulatory Investment Advisory RIA Non-Discretionary ND portfolio...

  • Compliance Officer

    22 hours ago

    Ghatkopar, Mumbai, Maharashtra, India Sensys Technologies Pvt. Ltd Full time

    Job Title: HR Compliance Officer Experience: 2 to 5years Location: Ghatkopar Key Responsibilities: 1. *Liaison with Regulatory Bodies:* - Interact and coordinate with PF, ESIC, and labour office officials to ensure compliance and resolve any issues that may arise. - Stay updated with the latest amendments and notifications issued by these regulatory...

  • Compliance Executive Pf

    22 hours ago

    Mulund West, Mumbai, Maharashtra, India Kamal Enterprises Full time

    Making PF & ESIC Challans, Upload PF & ESIC challans on portals Employees pf & ESIC Registration Online PF withdrwal claims PF transfer and Advance claim Generation of ESIC TIC of employees & distribute to emloyees Checking monthly compliance and non complaince of clients Drafting & mailing letters on various matter Visit PF & ESIC office for...

  • Compliance Officer

    1 week ago

    Kalina, Mumbai, Maharashtra, India Centrum Capital Full time

    Centrum Financial Services Limited Centrum Financial Services Limited (CFSL) is an NBFC-CIC. It holds majority stake in Unity Small **Company** Finance Bank and will also be the holding company of all the regulated businesses (Brokerage, Wealth management, Insurance broking, merchant banking, Asset Management etc.) of Centrum Group as an NOFHC...