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SBI Securities - Manager Compliance
SBI Securities
posted 1mon ago
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Job Description
Role & responsibilities :
- Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.
- Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.
- Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections
- Handling Regulatory Inspections & Internal Audit Independently
- Liaison with Regulators
- Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.
- Preparing various reports & MIS for Senior Management & Board of Directors
Preferred candidate profile
Experience: Min 5 Years
Stock Broking experience is mandatory
Employment Type: Full Time, Permanent
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