loader

Z-2931 | Compliance Officer


Industry : Broking

Sub Department : Governance, Risk & Compliance

Department : Compliance

: Kandivali West

: Mumbai

: India

: 8 - 10 p.a (INR Lacs)

: 3 - 4 Year

Job Preference :


Job Description :

Job Description: Compliance Officer for Pro Trading Focused Stock Broker


Ensuring all the regular compliances for all the exchanges NSE BSE MCX and clearing corporations

Should be well versed to handle Inspection by any exchange and regulator

Complete all the necessary audit requirement timely and submit to relevant exchange and regulator

Coordinate internally with other departments to get the required information for all the relevant compliances

All the organization policies and procedures should be compliant with all the required compliance and whenever any changes in any regulation do update the same and implement it.

Take care of all the New Circular guidelines received from Exchange and regulator and implement them within required timeline

Take care of all the dealing activities in terms of their compliance with exchange and regulator

Do all the regular required reporting to exchange and regulator










Qualification :

18

Skills :

Required skills and qualifications – 


At least 3-4 years of experience with Stock broker in their compliance team.


User Login

Click To Login With Demo User
Candidate Employer

Forgot Password?

Sign Up

Candidate Employer