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We Are Hiring For Compliance Executive ( Stock Broking )

1 - 5 years

2 - 7 Lacs

Mumbai Thane

Posted:6 days ago| Platform: Naukri logo

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Skills Required

Stock Broking SEBI Audits Compliance Stock Exchange SEBI Regulatory Compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

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

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Dealmoney
Dealmoney
www.dealmoneyonline.com

Financial Services

Mumbai Maharashtra

1001-5000 Employees

5 Jobs

    Key People

  • Jessica Smith

    CEO

  • Mark Johnson

    CTO

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