Senior Manager/AVP - Broking Compliance Key Responsibilities: Manage day to day Broking compliance for Institutional Broking business which includes the following: - Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance / observation made during inspection. - Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionables. - Handling all NSE/ BSE inspections, queries and audits - Training to new joinees on Broking regulations - Dissemination of Circulars and their implementation - Handle internal and external auditors - Manage all disclosures and compliances related to Insider Trading Skills Required: - CA or a CS with at least 4-5 years experience in an institutional broking house - Good Understanding of the Broking Regulations - Knowledge of capital market rules and regulations - Understanding of the FPI / FDI regulations - Knowledge of the PMLA / AML regulations

Mumbai

Senior Manager/AVP - Broking Compliance - Institutional Broking Business 

Senior Manager/AVP - Broking Compliance - Institutional Broking Business  ,Job Description for Senior Manager/AVP - Broking Compliance - Institutional Broking Business  in Virtuousresources in  Mumbai for (5-10) years of experience. Apply Now!

Job Description for Senior Manager/AVP - Broking Compliance - Institutional Broking Business  in Virtuousresources in  Mumbai for (5-10) years of experience. Apply Now!