Compliance Operation

1 week ago

Mumbai Maharashtra, India GEPL Capital Full time

**About the job**:
**What you will do**:

- Manage daily exchange submissions and ensure timely compliance reporting.
- Conduct periodic policy reviews and oversee internal, external, and SEBI audits.
- Analyze UCC and billing in accordance with exchange norms.
- Ensure proper reconciliation and monitoring of financial transactions.
- Coordinate inter-department audits to ensure smooth operations and compliance.

**Compensation**:

- Based on industry standards

**Role**
- Legal & Compliance Role

**Salary**
- As per industry standard

**Industry**
- Broking /NBFC

**Functional Area**
- Compliance, inter dept audit

**Role Category**
- Compliance

**Job Type**
- Full-Time

**Education**
- B.Com

**Key Skills**
- Advanced proficiency in Excel

NISM-Series-III: Securities Intermediaries Compliance (preferred)
- experience in compliance within the broking industry.

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