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3 Broking Compliance Jobs

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7.0 - 12.0 years

17 - 25 Lacs

noida, mumbai (all areas)

Work from Office

Location: Mumbai / Noida Experience: 812 Years Industry Preference: Broking / Capital Markets Joining: Early joiners preferred About the Role We are seeking an experienced Company Secretary (CS) with strong expertise in compliance, governance, and regulatory frameworks specific to the broking and financial services industry. The ideal candidate will ensure adherence to SEBI, NSE, BSE, and other regulatory requirements, while supporting strategic initiatives of the organization. Key Responsibilities Ensure compliance with Companies Act, 2013 , SEBI regulations, and other applicable laws. Manage board meetings, committee meetings, and shareholder meetings including preparation of agenda, notic...

Posted 8 hours ago

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7.0 - 12.0 years

18 - 22 Lacs

bengaluru

Work from Office

Key Responsibilities: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, N...

Posted 4 weeks ago

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7.0 - 12.0 years

18 - 22 Lacs

Bengaluru

Work from Office

Key Responsibilities: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, N...

Posted 2 months ago

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