Upgrade to Pro Member
Manager Recruitments at Derive Management Solutions Pvt Ltd
Views:366 Applications:53 Rec. Actions:Recruiter Actions:21
Head - Compliance - BFSI (9-12 yrs)
Roles and Responsibilities :
1. Liaisons with Depositories, Stock Exchange SEBI
2. Handle all legal matters including arbitration matters in various courts and tribunals.
3. Handle of inspection of NSE, BSE, NCDEX, MCX, SEBI, CDSL PMS & NSDL
4. Deal with investors grievance issues
5. Ensure the overall compliances by the company including that by branches/channel partners pertaining to stock broking, PMS and activities of the group
6. Franchisees audit and Compliance
7. Monitor and Supervise Compliance Team
8. Report to management
9. Verify all compliance submissions with regulators
Skills Required :
- 10+ years of experience from broking industry only
- Exposure in Retail compliance
- Handling IGRP And Arbitration matter
- Preparing reports on weekly basis
- Good communication and interpersonal skills
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.
2-Step Verification - Action Required
We've updated our security procedures!
Your privacy and security are important to us. We've recently updated our security measures to make iimjobs.com safer and more secure for you. This change requires you to reset your password.
Please reset your password using the link sent to your email. If you did not receive any email, please check your spam folder..
