Current jobs related to Stock Exchange Compliance Officer - Mumbai - Dindayal Biyani Group

  • Avp - Stock Broking Compliance

    2 weeks ago

    Navi Mumbai, Maharashtra, India Hitya Global Full time

    **Role Overview**: - Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India 1 Finance Full time

    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,...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Permanent Solution Full time

    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...

  • Compliance Officer

    1 week ago

    Mulund West, Mumbai, Maharashtra, India Rikhav Securities Ltd Full time

    Rikhav Securities ltd. is a Listed company in BSE, we are a stock broking firm since 2006. we are looking for the experience compliance officer from the Stock Broking Firm. - 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...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Permanent Solution Full time ₹ 10,00,000 - ₹ 12,00,000 per year

    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.●...

  • Compliance Officer

    4 days ago

    Mumbai, India Permanent Solution Full time

    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. ●...

  • Compliance Manager

    2 weeks ago

    Mumbai, Maharashtra, India Intellectual Capital Hr Consulting Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Role & responsibilitiesPosition: Compliance ManagerRoles and Responsibilities :MonitoringThe compliance officer monitors the firm's day-to-day compliance with stock   exchanges and depositories. They also monitor the compliance of KYC and   AML & PMLA guidelines.Responding to noticesThe compliance officer responds to surveillance notices, show cause...

  • Sebi Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Talent Corner HR Services Full time

    **About Company**: A prominent and established player in the financial services sector, this organization specializes in stock broking and related financial solutions. With a strong focus on trust, transparency, and client-centric service, the company has built a solid reputation in the industry. It is committed to innovation and excellence, creating a...

  • Compliance Officer

    6 days 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...

  • Executive Assistant

    1 week ago

    Mumbai, India LSEG (London Stock Exchange Group) Full time

    The variation of grades within the family will depend on the complexity of the services and tasks required Key Responsibilities - Works within the Executive Function in a cohesive manner - Provides administrative and organisational support to the function & Senior leaders as assigned from time to time by the function - Standard diary management. - Arranging...

Stock Exchange Compliance Officer

3 weeks ago

Mumbai, India Dindayal Biyani Group Full time

Exchange related compliance and documentation (BSE, NSE, MCX ETC)
- SEBI compliance for stock brokers. Only PROP.
- Other day to day exchange related queries and documentation.
- All other compliance and exchange related tasks.
- Must know how to communicate with NSE and other exchanges for day to day back office work and compliance.
- SEBI circular monitoring.
- Back office and admin work.

MUST HAVE ATLEAST 8-10 YEARS EXPERIENCE IN THIS FIELD. IDEALLY SHOULD BE WORKING AT A BROKING HOUSE.

**Salary**: ₹20,000.00 - ₹70,000.00 per month

Schedule:

- Day shift
- Fixed shift

Ability to commute/relocate:

- Mumbai, Mumbai - 400021, Maharashtra: Reliably commute or planning to relocate before starting work (required)

**Experience**:

- SEBI compliance: 6 years (required)
- Stock Broking back office: 7 years (required)
- exchange compliance: 7 years (required)