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109 SBI Securities Jobs

Opportunity For Manager/Sr. Manager - Legal & Compliance

5-10 years

₹ 8 - 18L/yr

Mumbai Suburban, Navi Mumbai, Mumbai

1 vacancy

Opportunity For Manager/Sr. Manager - Legal & Compliance

SBI Securities

posted 27d ago

Job Role Insights

Fixed timing

Job Description

Designation : Deputy Manager/Manager Legal & Compliance

Location : Lowerparel

Years of Exp : 5+ Yrs exp



Job Description :

  • 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.
  • Conducting 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.

Interested candidates can share cvs on ruchi.kedia@sbicapsec.com



Employment Type: Full Time, Permanent

Read full job description

Prepare for Manager Legal & Compliance roles with real interview advice

Top SBI Securities Manager Legal & Compliance Interview Questions

Q1. How we generate 15000k brokerage from clients If our brokerage is .50?
Q2. What do you about share markets?
Q3. Explain about In the money, At the money and out of the money call and put option with example?
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What people at SBI Securities are saying

What SBI Securities employees are saying about work life

based on 1.7k employees
55%
50%
49%
99%
Strict timing
Monday to Saturday
Within city
Day Shift
View more insights

SBI Securities Benefits

Job Training
Health Insurance
Soft Skill Training
Work From Home
Team Outings
Cafeteria +6 more
View more benefits

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