Compliance Officer

6 days ago

Andheri Mumbai Maharashtra, India aikyam capital pvt ltd Full time

Job Title: Operations Manager

(Mid Level)

Experience and/ or Qualification: 3 to 5 years

Graduate

Department/

Group: Stock Broking - Operations

Responsibility:

- KYC - To create and update client master in Broking and Exchange platforms
- Coordination

a. Coordination with Trading and Risk Team for Terminal mapping and segment activation b.

Coordination with Custodians, Clearing member, Banks
- CTCL Mapping
- Daily Contracting, Billing, margin reporting, EOD reporting and reconciliation of exchange

obligations
- Maintain records of all broking related accounting entries
- Operations related reporting

a. Daily / Weekly/Monthly reporting

b. Handling Audits or any regulatory queries independently and ensuring no incorrect

information is reported to the Exchange.

c. Reviewing Exchange circulars leading to business impact and implement

Doc No Page No Revision

Revision Date

ACA/HR-02 Page 2 of 2 00

05.09.2024
- Working closely with COO Broking towards increasing efficiency, identifying gaps/

defects/errors
- New Technology implementation
- Vendors - Interacting with Vendors on ongoing issues, new developments with cost analysis and

implementation
- UAT testing and identifying functional defects and providing solutions
- Having exposure to handling Clearing member activities is a plus

Accountability: The person taking up this role would be accountable for
- Operations related regulatory reporting

a. Daily / Weekly/ Fortnightly/Monthly reporting

b. Handling Audits or any regulatory queries independently and ensuring no incorrect information

is reported to the Exchange.

c. Reviewing Exchange circulars leading to business impact and implement
- Daily Settlement reconciliation
- On time error free executions across product lines
- Ensure compliance with applicable rules and guidelines across functions

Competencies:

- Should have relationships with Regulators, Clearing Corporations
- Strong entrepreneurial, interpersonal and networking skills
- Expertise in institutional/ NRI/ Corporate client entire lifecycle
- Query Handling and Resolutions

Skills Required:

- Degree Holder in Finance or another related field
- Requisite NISM Certifications
- Minimum 3+ years of experience in broking operation across functions
- Worked in an Institutional Operations department in a Stock Broking Firm for 2+ years
- Hands on experience in the software system used for broking such as LD/ Comptek.
- Additional experience in handling Clearing operations is a plus

Pay: ₹246,534.11 - ₹1,084,554.94 per year

**Benefits**:

- Health insurance
- Paid sick time

Schedule:

- Day shift

Supplemental Pay:

- Commission pay
- Performance bonus
- Yearly bonus

**Experience**:

- total work: 3 years (preferred)

Work Location: In person

  • Compliance Officer, Insurance

    6 days ago

    Andheri, Mumbai, Maharashtra, India Fleet Management Full time

    **Compliance officer, Insurance**: - Date: 14 Jan 2025 - Location: Andheri (Mumbai) - Company: Elegant Marine Services Private Limited Our 27-year journey rides on the passion of over 24,000 seafarers and 1,000 onshore professionals. Today, we are one of the largest independent third-party ship management companies managing over 650+ diverse types of...

  • Compliance Officer

    6 days 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

    19 hours 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

    20 hours 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

    5 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

    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...

  • Compliance Officer

    19 hours ago

    Mumbai, India Majestic Basmati Rice Pvt. Ltd. Full time

    **Position: Compliance Officer** **Location: Mumbai** **Salary: 20k-40k per month** **Immediate Joiners Preffered!** **Responsibilities for Compliance Officer**: - Need compliance officer for Mumbai office. Should be able to understand and reply to queries by **SEBI and NSE and BSE** - Mastermind compliance policies and protocols on behalf of the...

  • Compliance Officer

    2 days ago

    Mumbai, India HR Employment Care Full time

    Location: Mumbai **Salary**: 18-25k per month Immediate Joiners Preferred! Responsibilities for Compliance Officer: Need a compliance officer for the Mumbai office. Should be able to understand and reply to queries by SEBI and NSE and BSE Mastermind compliance policies and protocols on behalf of the organization Develop and implement a compliance...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Worldline Full time

    **Compliance Officer (F/M)** **About Organisation**: At Worldline, our technology addresses persistent challenges of the payment world. We’ve established ourselves as a leading developer of creative software solutions for enabling the cashless society. If you are an authoritative Delivery Manager, then get ready to join our company. We have many...