Compliance Associate - Broking A C Agarwal Share Brokers Pvt. Ltd

1.0 - 5.0 years

0 Lacs

vadodara, gujarat

On-site

As a Compliance Assistant at A.C. Agarwal Share Brokers, you will be playing a crucial role in supporting the compliance and regulatory functions within the organization. Your attention to detail and proactive approach will be pivotal in monitoring and ensuring adherence to internal policies and regulatory standards. Your responsibilities will include preparing reports, conducting audits, and maintaining accurate documentation to uphold the firm's compliance with financial and regulatory guidelines. Key Responsibilities: - Assist in monitoring and ensuring compliance with relevant regulatory standards, including SEBI, RBI, and internal company policies. - Support the execution and management...

Posted 1 month ago

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Compliance Associate - Broking A C Agarwal Share Brokers Pvt. Ltd

2.0 - 6.0 years

0 Lacs

vadodara, gujarat

On-site

As a Compliance Assistant at A.C. Agarwal Share Brokers, you will be a crucial part of the organization's compliance and regulatory functions. Your attention to detail and proactive approach will be instrumental in ensuring adherence to internal policies and regulatory standards. Your responsibilities will include supporting regulatory compliance, fund allocation processes, short allocation reporting, segregation reporting, FO margin shortage checks, communication coordination, fund movement, MTF JV & shortage management, and EOD margin reporting checks. You will play a key role in monitoring and ensuring compliance with relevant regulatory standards such as SEBI, RBI, and internal company p...

Posted 3 months ago

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