Posted By
Sejal Desai
Talent Acquisition Business Partner at Edelweiss Financial Services Limited
Last Login: 03 November 2017
5621
JOB VIEWS
107
APPLICATIONS
21
RECRUITER ACTIONS
Posted in
Banking & Finance
Job Code
404244
- Having through knowledge of Equity Broking Compliance Regulations and applicable guidelines
- Having through knowledge of Commodity Broking Compliance Regulations and applicable guidelines
- Having through knowledge of Depository and Comtrack Compliance Regulations and applicable guidelines
- Having Sound knowledge of NBFC Compliance
- Knowledge of Investment Advisory Compliance
- Knowledge of Research division compliance
- Anti money laundering related regulations and guidelines
- Surveillance / Alert understand of the trading activity
- Policy and Processes framing pertaining to above-mentioned compliances implementation
- PAN India level Branches and Service centre compliances
- Ensuring Compliances for Sub Broker and Authorised Persons at PAN India Level
- Handling of Regulatory Inspections
- Implementation of Regulatory guidelines and Circulars for the respective business
- Candidate preferably CA and CS
- Having Broking entity experience of more than 5 years
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Posted By
Sejal Desai
Talent Acquisition Business Partner at Edelweiss Financial Services Limited
Last Login: 03 November 2017
5621
JOB VIEWS
107
APPLICATIONS
21
RECRUITER ACTIONS
Posted in
Banking & Finance
Job Code
404244