We Are Hiring For Compliance Executive ( Stock Broking ) Dealmoney

1.0 - 5.0 years

2 - 7 Lacs

Mumbai, Thane

Work from Office

location - Thane Mumbai Job Description - Required Complaince Officer ( Stock Broking) An efficient complaince officer from Stock Broking Industry Should have minimum 1-3 years of experience in stock broking complaince Should be able to handle exchange reportings appropriately ( Daily, Weekly , Monthly) Should be able to handle all audit related matters independently ( Internal and External) Must have handled Exchanges (NSE, BSE, MCX, MCDX, Etc) and SEBI Audits - Must have handled Depository ( NSDL/CDSL) Audits - Sound knowledge of latest regulations Handled compliance related inspections/ Audit of various types of Brokers of the Exchange including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and big broking houses. Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system. Drafting of various observations of the queries raised by Exchanges/ SEBI. HR - Prajakta 8355866411 prajakta.tawde@dealmoney.in www.dealmoneyonline.com https://www.dealmoneyonline.com/breaking-news dealcars.in To know more about are group of companies please visit following website:- https://www.dealmoneyonline.com/ http://www.scandent.in/ https://www.familycarehospitals.com/miraroad www.onelifecapital.in

Posted 1 month ago

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