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2 Progressive Share Brokers Jobs
Compliance Asst. Manager / Manager For Stock Broking Company
3-8 years
Mumbai Suburban, Mumbai
1 vacancy
Compliance Asst. Manager / Manager For Stock Broking Company
Progressive Share Brokers
posted 8d ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
Role & Responsibilities:
- Ensuring compliance and reporting as per the rules and regulations framed by regulatory authorities (Exchange, SEBI, CDSL)
- Replying to compliance related queries
- Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
- To track day to day circulars / notifications / notices issued by regulatory
- Ensure appropriate and timely alert management
- Basic knowledge of Audit of Authorized Person and Audit of Exchange.
- Working knowledge of advisory aligned surveillance and adhoc investigations.
Desired Skills
- 3 - 8 year of experience in handling compliance activities for Share Broking Companies
- Excellent written and oral communication skills with attention to details
- Proficient at using MS Excel and MS word
Employment Type: Full Time, Permanent
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Compliance Asst. Manager / Manager For Stock Broking Company
3-8 Yrs
Mumbai Suburban, Mumbai
Job Opening in Compliance For Stock Broking Company
4-9 Yrs
Mumbai, Mumbai Suburban, Mumbai
