Senior Manager Compliance - Ahmedabad

Job Purpose

Manage Compliances pertaining to Retail Broking Industry

Key Responsibilities

1. Averse with CTCL creation in exchanges
2. Averse with NISM compliance for trading terminals
3. Averse with Algo and Non-algo creation in stock exchanges
4. Averse with rules and regulations and basic compliances of stock markets and DPS
5. Averse with daily process and submissions in stock exchanges
6. Averse with periodic submissions in stock exchanges

Qualifications

CA/CS/MBA/Post Graduate

Experience

Minimum 3-5 years working experience in stock broking industry pertaining to compliance . Incumbent have working experience with RMS/Operation may also apply

Functional Competencies

Competencies that are required for the role

Analytics, Drafting, communication skills

In depth knowledge of stock market and regulations

Teamwork

Behavioral Competencies

Team player, outspoken, urge for growth within organization, Passionate