Senior Compliance Operations Manager Paytm Money

5.0 - 9.0 years

0 Lacs

maharashtra

On-site

As a Risk Management & Compliance professional in the Financial Services industry, your primary responsibilities will include: - Having a thorough understanding of Peak margin, Quarterly settlement, MTF, CUSPA process to effectively address queries/alerts from the Exchange. - Managing and overseeing audits mandated by NSE and BSE. - Ensuring the implementation of the latest circulars issued by SEBI/Exchanges/Depositories/PFRDA and following up with stakeholders for timely compliance. - Creating and sharing Compliance calendars with stakeholders, and ensuring their timely submission. - Handling both On-site and Off-site inspections conducted by SEBI/stock exchanges. - Providing an overview of new product launches and supporting the team in developing new products and processes. - Maintaining a Monthly Governance Dashboard and engaging in discussions with the Management based on the dashboard insights. - Acting as a liaison between the Exchange and internal teams. - Managing additional compliance tasks such as Segment Activation, Software approvals, and other related activities. This role requires a strong foundation in Risk Management & Compliance practices within the Financial Services sector, along with excellent communication and coordination skills to ensure seamless adherence to regulatory requirements and internal processes.,

Posted 3 days ago

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Equity Relationship Manager Aarti Enterprise

2.0 - 5.0 years

3 - 6 Lacs

Ahmedabad, Ajmer, Vadodara

Work from Office

Equity sales to all Clients of branch with special Focus On HNI Clients, Revenue Generation from equity,Commodity&equity products to meet branch overall equity broking targets. Help customer trade online & Place order on behalf Customers. Required Candidate profile Achieving The Business target assigned to branch in terms of Broking revenue,acquiring Clients,enhancing & upgrading the client Relationship.Ensuring the highest level of service to the clients.

Posted 1 month ago

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