Legal & Compliance Specialist: Stock Broking and Depository - The incumbent will support Spark Family Office & Investment Advisors India in complying with all relevant regulations relating to the Stock Broking & Depository related compliances. - The candidate should possess a strong analytical mind, be a technical and creative thinker, have a strong aptitude for doing research of regulations. - The ideal candidate will have to have excellent written, oral and interpersonal communication skills, along with the fervent desire to continuously learn about nuances of compliance. Duties and Responsibilities: - Conversant with Stock Broking and Depository related Compliance Regulations - Conversant with the business of Private Wealth business - Monitor the requirements of Insider Trading regulations for Private Wealth business - Conduct monitoring, testing and surveillance - Conduct basic due diligence and putting into place systems for compliance - Monitor changes in regulatory environment and take appropriate action - Research and evaluate different risk factors regarding business decisions and operations - Specify internal governance policies and regularly monitor compliance - Handle regulatory audits, inspections and routine queries - Create and manage effective action plans in response to audit discoveries and compliance violations. - Other tasks to support the compliance department as needed. Qualifications Required: - 4-6 years' experience in Stock Broking and Depository related Compliance Regulations - Qualified Company Secretary or Chartered Accountant with experience in compliances relating to broking primarily. - Proactive, result oriented, with excellent communication skills; strong attention to detail and confidentiality

Mumbai

Spark Capital - Specialist - Legal & Compliance - Stock Broking & Depository - CA/CS 

Spark Capital - Specialist - Legal & Compliance - Stock Broking & Depository - CA/CS  ,Job Description for Spark Capital - Specialist - Legal & Compliance - Stock Broking & Depository - CA/CS  in Spark Private Wealth in  Mumbai for (4-7) years of experience. Apply Now!

Job Description for Spark Capital - Specialist - Legal & Compliance - Stock Broking & Depository - CA/CS  in Spark Private Wealth in  Mumbai for (4-7) years of experience. Apply Now!