Compliance Executive- EXChange Compliance Shah Investor's Home Ltd

1.0 - 2.0 years

4 - 5 Lacs

ahmedabad

Work from Office

Ensure compliance with regulations through monitoring, data management, internal checks, and coordination. Skilled in analysis, communication, and problem-solving with strong integrity, attention to detail, and a collaborative work ethic. Required Candidate profile Candidates with prior experience in a stock broking & financial services firm will be preferred,Proficiency in Advanced Excel & MS Word is essential,Good communication and analytical skills are a must Perks and benefits Leave encashment

Posted 2 weeks ago

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RMS Executive Lakshmishree Investment & Securities Pvt. Ltd

0.0 - 2.0 years

1 - 3 Lacs

varanasi

Work from Office

The RMS department is responsible for monitoring and managing the risks associated with trading activities in the stock market. As a RMS Executive, you will be instrumental in assessing, analyzing, and mitigating risks to ensure compliance with regulatory requirements and protect the firm's financial health. Key Responsibilities: Prepare the BOD files from Exchange and Back office Prepare the EOD files from Exchange and Back office Margin monitoring at Exchange level and Trader /Branch Level Continuous Trader margin and P&L monitoring Resolve any client query regarding order, trade, holding, position Trade and order backup from trading software Additional Skills Knowledge of Capital Market, ...

Posted 3 weeks ago

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Opportunity For a compliance role with SBI Securities Sbicap Securities

1.0 - 6.0 years

3 - 6 Lacs

mumbai suburban, navi mumbai, mumbai (all areas)

Work from Office

Role: Compliance Department: Legal & Compliance Job Description : Handling the concurrent / Internal audit of Depositories / Exchanges Conduct continuous test checks to identify potential risks and ensure compliance with the regulatory requirements. Day to day query handling in relation to regulatory area of SEBI, Exchanges and Depositories Handling the Inspection of Depositories / Exchanges Liaison with Regulators on various regulatory matters Ensuring timely and accurate regulatory submissions to exchanges, Depositories, various PMS submissions, etc. Preparing various reports & MIS for senior Management & Board of Directors. Managing approvals of various client communications prepared by i...

Posted 1 month ago

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Company Secretary Sunrise Industrial Traders Ltd

0.0 - 5.0 years

2 - 3 Lacs

Mumbai

Hybrid

Secretarial Compliance related to ROC, SEBI Compliances and other compliances. Handling Minutes and drafting of Resolution and Filling BSE compliances along with XBRL and RBI CIMS Fillings. Company Secretary under employment (KMP). Required Candidate profile Qualified Company Secretary

Posted 5 months ago

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