Senior Manager/Assistant Vice President - Broking Compliance - Broking Firm

Opportunity with a Listed Broking Firm - Broking Compliance - Sr.Manager / AVP

If this interests you, request you to share your upadted CV with CTC & Notice Period to take this discussion ahead.

- The responsibility of this role is to ensure compliance in the respective business and monitor on continuous basis.

- The scope of this role includes vetting of KYC documents, client agreements, terms of business, referral agreements and disclaimers, vetting different business products, support in legal and litigation related assignments

- Role also involves handling Exchange/SEBI enquiries and inspections and surveillance related activities.

- Having hands on Experience in Wealth Management products including Investment Advisory, Research Analysis, IAF, PMS, Structure Products, product distribution and cross selling etc.

- Handling funding products, RBI Regulations and NBFC Compliances.

Namrata M.