Job Responsibilities Meet and build long-term relationships with HNI clients to understand their goals and financial priorities Develop customized financial plans covering investments, insurance, taxation, and retirement strategies Review and refine client portfolios to align with changing goals or market conditions Present financial concepts clearly, helping clients make confident and informed decisions Stay updated with market trends, financial products, and compliance regulations Collaborate with the internal team to ensure an exceptional client experience Requirements 1. Certified Financial Planner (CFP) certification (mandatory or currently pursuing). 2. Minimum 1 year of experience in financial planning, wealth management, or investment advisory preferred. 3. Freshers with strong communication skills and a passion for finance are also welcome to apply. 4. Bachelors degree in Finance, Commerce, Economics, or a related field. 5. Excellent interpersonal and client-handling skills, especially with HNI clients. 6. Knowledge of mutual funds, insurance, tax planning, and retirement solutions. 7. Proficiency in MS Office and financial planning tools. Good to Have 1. Prior internship or exposure to financial planning, banking, or investment advisory. 2. NISM/AMFI certification. 3. Familiarity with tools like XPlan, eMoney, or similar.
The Compliance Executive is responsible for ensuring that the stock broking entity adheres to all regulatory requirements prescribed by SEBI, Stock Exchanges (NSE/BSE), Depositories (NSDL/CDSL), and other applicable statutory bodies. The role involves monitoring day-to-day compliance activities, regulatory reporting, audits, investor grievance handling, and supporting the compliance officer in maintaining a robust compliance framework. Key Responsibilities 1. Regulatory Compliance & Monitoring Ensure adherence to SEBI, NSE/BSE, NSDL/CDSL and other regulatory guidelines. Monitor circulars, regulatory updates, and implement necessary changes. Assist in maintaining required compliance registers and documentation. Conduct surveillance on client trading activities to identify unusual or suspicious transactions. 2. Reporting & Filings Prepare and submit mandatory regulatory reports such as: Monthly/Quarterly/Annual Compliance Reports Enhanced Supervision Reports UCC updates and client-related filings Financial statements and net worth reporting Exchange & depository periodic submissions Coordinate with auditors for internal, statutory, exchange, and SEBI inspections. 3. KYC & Client Onboarding Ensure client onboarding is compliant with SEBI and exchange KYC norms. Verify client documentation, CKYC checks, IPV verification and UCC uploads. Monitor periodic KYC revalidation and FATCA/CRS compliance. 4. Risk & Surveillance Review risk management controls related to margins, limits, and exposure. Monitor alerts generated by surveillance systems (e.g., limit breach, insider trading alerts, market manipulation flags). Escalate high-risk transactions to the compliance officer with recommendations. 5. Investor Grievance Handling Resolve client complaints received through: Exchange SCORES system Internal grievance mechanism Depositories grievance cells Maintain grievance registers and ensure timely closure. 6. Audit & Inspection Coordination Coordinate with internal auditors, statutory auditors, depository audits, system auditors, and exchange/SEBI inspectors. Ensure timely submission of responses to audit findings and compliance observations. 7. Policy & Documentation Draft and maintain compliance policies such as: AML Policy Insider Trading Policy Risk Management Policy Cyber Security & IT Controls Maintain agreements, POAs, client forms, and other statutory documents as per regulatory norms. Key Skills & Competencies Strong understanding of SEBI, NSE/BSE, NSDL/CDSL regulations. Knowledge of KYC, AML, surveillance, and risk management in broking operations. Good analytical skills and attention to detail. Ability to interpret regulatory circulars and apply them operationally. Excellent communication and documentation skills. Proficiency in MS Excel, reporting tools, and compliance software. Qualification & Experience Education: Graduate in Commerce/Finance, MBA, or relevant field.Preferred Certifications: NISM Series III Compliance Officer certification, Series VIII, Series VII. Experience: 15 years in compliance, risk, or operations at a stock broker, depository participant, or financial services firm.
Were looking for a sharp, data-driven MIS Executive to join our fast-paced stock market team in Fort, Mumbai. In this role, youll be at the center of business insightstracking trading data, monitoring performance, and delivering crisp MIS reports that help leadership take smarter, faster decisions. Youll collaborate closely with Operations, Sales, Risk, and Compliance teams in a high-energy capital markets environment where accuracy, speed, and ownership truly matter. If you enjoy working with numbers, building dashboards, spotting trends, and making data tell a story, this role offers strong exposure and real growth in the stock broking industry. Job Responsibilities Prepare daily, weekly, and monthly MIS reports Track trading volumes, brokerage, revenue, and KPIs Maintain accurate data from trading and back-office systems Create Excel dashboards and reports Share timely MIS with management and stakeholders Requirements : Graduate in Commerce / Finance or related field 2-3 years of MIS experience (stock market experience preferred) Strong MS Excel skills (Pivot Tables, VLOOKUP/XLOOKUP) Good analytical and coordination skills