Posted:1 month ago|
Platform:
Work from Office
Full Time
Ensure the company complies with all SEBI, NSE, BSE, CDSL, NSDL, and other regulatory guidelines applicable to stock broking activities.
Monitor day-to-day compliance of trading, depository, and back-office operations.
Prepare, review, and submit periodic reports/returns to SEBI, Exchanges, Depositories, and other regulatory authorities within timelines.
Draft and update internal compliance policies, manuals, and procedures in line with regulatory requirements.
Conduct regular compliance audits, inspections, and internal checks across branches and departments.
Ensure client KYC, PMLA (Prevention of Money Laundering Act), and other statutory compliances are strictly followed.
Liaise with regulatory authorities during inspections, audits, and queries, and ensure prompt closure of observations.
Provide compliance training and guidance to employees, dealers, and relationship managers.
Monitor new circulars, regulations, and guidelines issued by SEBI/Exchanges/Depositories and ensure timely implementation.
Investigate and report any breaches or violations of compliance to senior management.
Alice Blue Financial Services
Upload Resume
Drag or click to upload
Your data is secure with us, protected by advanced encryption.
Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.
We have sent an OTP to your contact. Please enter it below to verify.
Instantly access job listings, apply easily, and track applications.
5.0 - 7.0 Lacs P.A.
bengaluru
Experience: Not specified
20.0 - 35.0 Lacs P.A.
ahmedabad
4.0 - 7.0 Lacs P.A.
vapi, jamnagar, anand
5.0 - 8.5 Lacs P.A.
gurugram
2.0 - 4.5 Lacs P.A.
karur, warangal, kottayam
4.0 - 7.5 Lacs P.A.
jodhpur
Experience: Not specified
4.5 - 6.0 Lacs P.A.
pune, mumbai (all areas)
22.5 - 37.5 Lacs P.A.
chennai, bengaluru
3.5 - 5.0 Lacs P.A.
bhilai, bilaspur, raipur
7.0 - 10.0 Lacs P.A.
