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Abhay Kumar

Head - Operation at Team Recruiters

Last Login: 21 May 2024

Job Views:  
164
Applications:  27
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Posted in

Legal

Job Code

1398796

Head - Compliance & Legal - Stock Broking

12 - 15 Years.Navi Mumbai/Mumbai
Posted 1 month ago
Posted 1 month ago

Position: Head - Compliance & Legal (Stock Broking)

Location: Navi Mumbai

Experience: 12 - 15 years

Qualification: CS, LLB

Salary: Rs. 18 LPA - Rs. 22 LPA

Job Responsibilities:

- Regulatory compliance & audit in stock broking, assist in Concurrent, Internal Audits & Inspection by SEBI/CDSL/BSE etc.

- Manage all processes as per regulatory framework to ensure exchange compliance.

- Facilitate preparation & submission of various forms, reports, & other documents to Exchanges / Depositories.

- Handle Investor Grievances as per regulatory guidelines.

Desired Profile:

- Liaising with Exchanges, Depositories for routine matters

- Ensure process-oriented, TAT-driven process as per defined SOP.

- Mentor & monitor team to ensure high level of accuracy and timely execution.

- Handle regulatory audits of SEBI, Exchanges, etc.

- Any other compliance matters as assigned from time to time.

About the Client:

Our client is working passionately to create an ecosystem for smart investors and traders to envisage, build and execute their Mantra. They are an innovative FinTech platform, originating from one of India's most significant and long-standing Brokerage houses with PAN India presence.

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Posted By

user_img

Abhay Kumar

Head - Operation at Team Recruiters

Last Login: 21 May 2024

Job Views:  
164
Applications:  27
Recruiter Actions:  0

Posted in

Legal

Job Code

1398796

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