Broker Compliance (Stock Market) - Mumbai

Job Description

Hi, We are looking for a Broker Compliance (Stock Market) Designation - Broker Compliance (Stock Market) Location - Mumbai. Interview - Walking Salary - 40K - 45K Experience - 3 + Years (in Share market) Interested candidates, can share their CVs at ranjeet@dreamjobz.co.in or call me at 9031066404. Job Title - Executive - Compliance Job Purpose Compliance personnel work is to ensure that the activities of their employing companies adhere to guidelines established by the government or non-profit agencies that regulate them. Duties and Responsibilities Conducting CPE (Training Program) and Examination of all (Employees, Sub-brokers and Authorised Person). Taking care of documentation for empanelment with various financial institutions. Registering authorized person. Cancellation of sub-brokers registration. Coordinating with various departments in regards to data collation which is required to be submitted with various authorities. Handling any other ad-hoc work assigned by senior/management. Taking care of various Compliances of MCX/NCDEX/NSE/BSE/MCX-SX includes : Submission of Annual Return (AR) Annual Compliance Report (ACR) Disclosure of share holding pattern - 1% holding of listed shares - Quarterly. Half yearly Networth Certificate. Internal Audit Report Risk based supervision Enhanced supervision compliances Limits setting of clients/branches/Compliance Officer Certificate. compliance System Audit Report Upload of Insurance policies with various exchanges Qualifications Education Any Graduate/Post Graduate Skills Required Good Communication Skills Good Interpersonal Skills Coordination Skills Patience Working conditions Candidate should 1-3 years of experience in Shthe are Market / Stock Broking industry. Physical Requirements Should be male/female candidate only.