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27/09 Kashbi Mehta
HR Consultant at COE Solution

Views:231 Applications:28 Rec. Actions:Recruiter Actions:27

Compliance Lead - Advisory Services - Financial Markets - LLB (3-5 yrs)

Jaipur/Rajasthan Job Code: 851653

Compliance Lead - Advisory Company


Candidates from Mumbai would be preferred


Job location is Jaipur

Company :

- Advisory Service company, based in Jaipur with a focus on creating wealth for its client. The company started in 2009 and has 30 + employees with an avg daily turn over of INR 600cr. They work primarily in the Derivatives Segment.

- The leadership has a cumulative experience of more than 30 years in the finance market and dealing with HNI and UHNI's

Compliance Lead :

Knowledge : 

- Should have the understanding of how to recognize stock exchange work

- Should have a basic understanding of NSE Spot and Derivatives exchange

- Should have knowledge how AMFI and Semi Works

- Exp of 3 to 5 year

Qualification - Law graduate

Work Location - Jaipur

Work : 

- Making sure we are complying with the regulators like SEBI, AMFI, and private bodies like NSE, BSE, NSE CD, BSE CD, MCX, or any other recognized stock exchange we might plan to work later on

- Understanding how new regulations are going to impact us

- Coordinating with the Brokers and NSE at the time of the Audit

- Drafting agreements with clients and distributors if need be and keeping the paperwork in place

- Setting processes and systems to simplify Compliance

- Coordinating with other departments for making agreements if need be

- Checking and setting processes for communicating with the clients

Women-friendly workplace:

Maternity and Paternity Benefits

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