We Are Hiring For Compliance Executive

location - Thane Mumbai

Job Description -

 Required Complaince Officer ( Stock Broking) An efficient complaince officer from Stock Broking Industry

Should have minimum 4-5 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

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