Position title : Assistant Manager - Compliance Department : Compliance Location : Mumbai Organizational Relationships : Reports to : COO/Manager Compliance Supervises : NA Coordinates with : Compliance Team Functional relationship with: Compliance, Accounts & Finance, Operations, HR Qualification : Essential : Graduate in any stream Desired : Post Graduate Experience : Relevant : 3+ years in the same profile in broking industry Total : 4+ years professional experience Skills : - Should have a good aptitude and patience - Should know the broking business - Should have good communication skills - written and verbal - Should have job knowledge Job Responsibilities : - Look into and resolve investor grievance/complaints - Address legal and arbitration cases - Manage operational compliance - Assist in day to day routine activities of the compliance department - Ensure immediate and time bound compliance - Proper compliance under SEBI act, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, Mumbai and circulars issued by SEBI, NSE BSE,MCX,NCDEX & MSEI from time to time - Ensure zero non compliance, zero penalty - Handle queries/investigation of stock exchanges and initiate action against the queries. - Knowledge of Institutional Compliance preferable. - Interpreting Regulatory Circulars, Draft Discussion Papers - Agreement & Contract Vetting - Repository of all contracts & agreements

Mumbai

Emkay Global Financial Services - Assistant Manager - Compliance 

Emkay Global Financial Services - Assistant Manager - Compliance  ,Job Description for Emkay Global Financial Services - Assistant Manager - Compliance  in Emkay Global in  Mumbai for (4-6) years of experience. Apply Now!

Job Description for Emkay Global Financial Services - Assistant Manager - Compliance  in Emkay Global in  Mumbai for (4-6) years of experience. Apply Now!