2 Stockbroking Compliance Jobs

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NSE Compliance Officer Ascentra Capital

2.0 - 7.0 years

4 - 9 Lacs

bengaluru

Work from Office

Role Overview The Compliance Officer will be responsible for ensuring Ascentra Capitals adherence to all applicable laws, regulations, and circulars issued by SEBI, NSE, and other regulatory authorities. This role involves developing and maintaining compliance frameworks, monitoring regulatory risks, and promoting a strong compliance culture across the organization. Key Responsibilities Ensure compliance with SEBI, NSE, and other regulatory requirements applicable to stockbrokers. Develop, implement, and maintain internal compliance policies and procedures. Monitor trading activities, settlement operations, and client onboarding processes for compliance. Coordinate with regulatory authoritie...

Posted 1 month ago

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NSE Compliance Officer Ascentra Capital

2.0 - 7.0 years

4 - 9 Lacs

bengaluru

Work from Office

Role Overview The Compliance Officer will be responsible for ensuring Ascentra Capitals adherence to all applicable laws, regulations, and circulars issued by SEBI, NSE, and other regulatory authorities. This role involves developing and maintaining compliance frameworks, monitoring regulatory risks, and promoting a strong compliance culture across the organization. Key Responsibilities Ensure compliance with SEBI, NSE, and other regulatory requirements applicable to stockbrokers. Develop, implement, and maintain internal compliance policies and procedures. Monitor trading activities, settlement operations, and client onboarding processes for compliance. Coordinate with regulatory authoritie...

Posted 1 month ago

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