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Mentorpal.ai Tech Hiring logo
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 1 week ago

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