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25/11 Akanksha Saxena
HR at Leap Skills

Views:774 Applications:79 Rec. Actions:Recruiter Actions:1

Compliance Officer - Stock Broking & Exchange (3-10 yrs)

Mumbai Job Code: 768447

- Good understanding of the capital market rules and regulations, circulars etc.

- Managing Inspection and Internal audit related to compliance.

- Assisting to internal auditors for conducting internal audits of all exchanges on a regular and on a Periodical Basis.

- Preparation, submission, and uploading Annual return & Annual Compliance to the exchanges.

- Implementation of exchange and SEBI KYC requirements, modification in the formats

- Handle Queries related to Trading and Account opening

- Manage surveillance related to Exchanges

- Manage Investigations related to Exchanges

- Providing MIS and presentation to management on monthly basis


- Min of 3 years experience of core compliance in stock broking & Exchange

- Task & detail oriented

- Proficiency in Excel and presentations

- Good Communication skills (spoken & written)

- Well organized for preparing various MIS and follow up

Women-friendly workplace:

Maternity and Paternity Benefits

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