Head - Compliance - Financial Institution

Compliance Head - India's largest & oldest Financial Institution

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

Choice Equity Broking Private Limited:

Choice Equity Broking Pvt Ltd (CEBPL) is a subsidiary stock broking business of Choice Group for over a decade marking a rank amongst Top 15 Broking Firms all over India with 273,000+ active clients, stretching up to 73 branches and 2500+ Unique Registered AP across the country.

Choice Broking blends best with latest Innovation & Technology as we believe in delivering excellence, service and innovative products to one and all. Backed by in-depth & dedicated technical as well as fundamental research teams that use a modern set of tools & techniques to analyse the best equity investment for both long & short term goals.