Stock Exchange Compliance Officer

We are looking for Compliance Officer/ Executive Company - Stock Broking Location - Nariman Point Experience - 4 yrs Knowledge of DP and stock broking back office, Compliance with SEBI (Stock Broking, Merchant Banking, Invest Advisory) Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e....

Roles and Responsibilities: - Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities. - Assisting to internal auditors for...

Position: Company Secretary and Compliance Officer (Secretarial & Legal) Location: Mumbai Reports to: Managing Director / Board of Directors Role Overview The Company Secretary, Legal & Compliance Officer will be responsible for ensuring compliance with the provisions of the Companies Act, 2013, SEBI regulations, and all applicable corporate laws. The...

Compliance Officer Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3).- Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA,...

Opportunity to work with a leading stock broking firm in Mumbai, Andheri East.Experience Required:● 5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)● Proven track record of managing regulatory compliance and dealing with SEBI inspections.●...

**Location** Mumbai **Experience** 1-2 Years **Key Skills** Compliance, Stock Exchange, SEBI, Company Secretary, Companies Act, Company Law, Corporate Governance **Position: Company Secretary & Compliance Officer** **Qualification: CS** **Experience: 0 to 1 years** **Location: Mumbai** - CS professionals have been authorized to verify compliances and...

SCOPE OF WORK : DP Head and Compliance Officer: - VAR File Updating (Pledge & MTF Module). - MTF Report Checking. - Holding Statement Reporting to All Exchanges. - Creation of Pledge - Release of Pledge - Pledge & Re-Pledge Reconciliation. - MTF Stock Reconciliation. - Margin Reporting Checking. - Valuation of Securities & Margin Verifying for Segregation...

As a Compliance Officer at NSE, BSE, MCX & CDSL your primary responsibility will be to ensure that the organisation’s operations and activities adhere to regulatory standards, industry guidelines, and internal policies. You will play a critical role in maintaining the integrity of the exchange and upholding a culture of compliance. **Key...

Job Description:About EquirusAbout Equirus WealthEquirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.For more details you can visit us at Equirus Wealth is a holistic Wealth Management platform founded in 2018...

Years of Experience: 6-8 years Qualification-: Qualified CS / LLB Work location: Lower Parel CTC - Best in Industry Job Description - Compliance Officer 1. Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013,...