Compliance-broking Operations/surveillance

5 days ago

Mumbai, India groww Full time

**JOB DESCRIPTION** **COMPANY VISION** - We are making finance simple. For millions in India. - Groww is on a mission to democratize access to financial services for millions of Indians responsibly. We are a customer-first company. - We believe in crafting the best and most delightful user experience for our customers. And we leverage first principle thinking and technology to solve problems at scale.. If this excites you, join us. **About Groww** - Groww is India’s fastest growing investment platform.. Our long term vision to become the trusted money partner of ~100M Indians with core products in investment & banking. Groww was founded in 2016 by alums from Flipkart, ICICI, IITB, IITD, BITs Pilani and is, backed by marquee investors like Tiger Global, Sequoia Capital, Ribbit Captial, and Y Combinator. **OUR VALUES** - We take pride in our values and hold ourselves to a high standard on: - Radical customer centricity - Simplicity in our products and personalities - Transparency on e - verything - Long term thinking - Ownership driven culture **Responsibilities**: - Overall responsibility of stock broking, depository participant and mutual fund distribution compliances and ability to handle regulatory inspections - Work closely with operations & technology team and ensure setting up of various processes/systems - viz., regulatory reporting, settlement of client funds, margin reporting and other allied / associate processes which are integral to broking / DP operations - Ensure that process that has been set-up as per regulatory / business requirements are being performed properly from a qualitative and timeliness perspective and keep a check with continuous verification/testing of system controls and reports - Identify enhancements, possible automations to existing process & systems - Work closely with auditors - internal/concurrent to develop and/or enhance/smoothen processes, system controls, surveillances, and associated procedures as per regulatory guidelines/circulars - Handle regulatory alerts / internal alerts and closure of the same with proper analysis - Handling of investor complaints received from regulators and ensure smooth closure of the same within the timelines - Dissemination of various circulars/reports/orders and appraise the Senior Management of their impact on the current business scenario - Knowledge of insider trading policy and experience of implementation /alerts generation/document maintenance/ reporting of the same **JOB REQUIREMENT** - Should be a CA/CS/MBA Finance with a minimum of 7-8 years of experience - Should have worked with a SEBI registered stock broking firm or from a CA firm having in-depth knowledge of broking / DP operations and conducted internal / concurrent audits - Ability to handle multiple tasks simultaneously and work under tight deadlines\ - Process focussed and laying down best standards of functioning - Deadline and Detailed oriented - Good interpersonal skills and excellent written/oral communication skills - Good team player - one who is able to prioritize in a fast moving, constantly changing environment

  • Broking Operations

    4 weeks ago

    Mumbai, India Anand Rathi Group Full time

    Company Name - Anand Rathi Global Intermediaries Limited (Stock Broker) Company Overview We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities. Role Overview This leadership position is responsible for overseeing and streamlining the full spectrum of...

  • Broking Operations

    3 weeks ago

    Mumbai, India Anand Rathi Group Full time

    Job Description Company Name - Anand Rathi Global Intermediaries Limited (Stock Broker) Company Overview We are a SEBI-registered Trading Member and Self-Clearing Member with a focus on institutional broking, proprietary trading, and promoter group trading activities. Role Overview This leadership position is responsible for overseeing and streamlining the...

  • Compliance Officer(Broking Firm)

    2 weeks ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Job Title:Compliance Officer(Broking Firm)Location:MumbaiExperience:8–10 yearsIndustry:Broking / Capital MarketsJob Overview:The Compliance Officer will be responsible for ensuring end-to-end regulatory and exchange-related compliance for the broking business. The role requires in-depth knowledge of SEBI, NSE, BSE, and CDSL regulations, strong liaison...

  • Online Surveillance

    2 weeks ago

    Mumbai, Maharashtra, India BSE Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    Dear Candidate,GreetingsKindly find the Job Description for the Online Surveillance.Role and Responsibilities:Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity).Supervise routine activities as per defined SOP and TAT.Verification of surveillance alerts such as...

  • Compliance-aml/surveillance

    5 days ago

    Mumbai, India groww Full time

    **JOB DESCRIPTION** **COMPANY VISION** - We are making finance simple. For millions in India. - Groww is on a mission to democratize access to financial services for millions of Indians responsibly. We are a customer-first company. - We believe in crafting the best and most delightful user experience for our customers. And we leverage first principle...

  • Compliance & Surveillance - Business & Operations

    5 days ago

    Mumbai, India Sushil Finance Full time

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  • Compliance Associate with Leading Mnc Broking

    1 week ago

    Mumbai, India Riverforest Connections Full time

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  • Compliance Officer- Broking Firm

    4 days ago

    Mumbai, India Reva Placement Full time

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  • Avp- Surveillance

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    Mumbai, India R2R Consults Full time

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  • Compliance Surveillance Analyst 2

    7 days ago

    Mumbai, Maharashtra, India Citi Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    Whether you're at the start of your career or looking to discover your next adventure, your story begins here.  At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks.  We're fully committed to supporting your growth and development from the start with extensive on-the-job training and...