Principal Officer - Broker Dealer Mentorpal.ai Tech Hiring

3.0 - 7.0 years

0 Lacs

gandhinagar, gujarat

On-site

As the Principal Officer designated under IFSCA regulations for the broker-dealer license, your role is crucial in ensuring compliance with IFSCA & NSE IX guidelines. Your responsibilities include: - Exchange & Regulatory Reporting: Acting as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. Ensuring timely and accurate reporting to NSE IX and IFSCA, handling audit queries, and overseeing routine inspection responses. - Broker Operations Management: Running and enhancing daily broking workflows, such as client onboarding, order management, trade execution, margin monitoring, reconciliations, and settlements. Collaboration with back-office vendors, tech pl...

Posted 2 weeks ago

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Principal Officer Mentorpal.ai Tech Hiring

3.0 - 7.0 years

0 Lacs

gandhinagar, gujarat

On-site

As the Principal Officer in our organization, you will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. Your role will be crucial in ensuring that all business and operational activities are compliant with IFSCA & NSE IX guidelines. The ideal candidate for this position will possess hands-on experience in retail broking, exchange reporting, and back-office operations, coupled with strategic leadership skills. Key Responsibilities: - Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per all prescribed form...

Posted 2 months ago

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Principal Officer - Broker Dealer Mentorpal.ai Tech Hiring

3.0 - 7.0 years

0 Lacs

gandhinagar, gujarat

On-site

Role Overview: As the Principal Officer designated as the regulatory officer for the broker-dealer license under IFSCA regulations, your primary responsibility is to ensure that all business and operational activities comply with IFSCA & NSE IX guidelines. Your role is crucial in maintaining regulatory compliance and upholding industry standards. The ideal candidate for this position should have hands-on experience in retail broking, exchange reporting, and back-office operations, along with strong strategic leadership skills. Key Responsibilities: - Manage Exchange & Regulatory Reporting by acting as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - En...

Posted 2 months ago

AI Match Score

Apply

Principal officer- Broker Dealer Mentorpal.ai Tech Hiring

3.0 - 7.0 years

0 Lacs

gandhinagar, gujarat

On-site

The Principal Officer will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. Your role is crucial in ensuring that all business and operational activities comply with IFSCA & NSE IX guidelines. The ideal candidate should possess hands-on experience in retail broking, exchange reporting, and back-office operations, coupled with strategic leadership skills. You will be responsible for Exchange & Regulatory Reporting, acting as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. Your duties will include ensuring timely and accurate reporting to NSE IX and IFSCA, handling audit queries, and overseeing routine insp...

Posted 5 months ago

AI Match Score

Apply

Principal officer Mentorpal.ai Tech Hiring

3.0 - 7.0 years

0 Lacs

gandhinagar, gujarat

On-site

The Principal Officer will serve as the designated regulatory officer under IFSCA regulations for the broker-dealer license. This role is critical to ensure that all business and operational activities are compliant with IFSCA & NSE IX guidelines. The ideal candidate brings hands-on experience in retail broking, exchange reporting, and back-office operations along with strategic leadership. You will have the following key responsibilities: Exchange & Regulatory Reporting: - Act as the regulatory point-of-contact with exchanges, clearing corporations, and custodians. - Ensure timely and accurate reporting to NSE IX and IFSCA as per all prescribed formats (e.g., trade logs, client activity, UC...

Posted 5 months ago

AI Match Score

Apply

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