- Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. - Manage all operational processes as per regulatory framework to ensure exchange compliance. - Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories. - Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc. - Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act,SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/BSE from time to time. - Assisting in handling Investor Grievances as per regulatory guidelines. - Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines. - Liaising with Exchanges, Depositories for routine matters - Handling regulatory audits of SEBI, Exchanges, etc. - Any other compliance matters as assigned from time to time.

Ahmedabad

Tradebulls - Head - Compliance 

Tradebulls - Head - Compliance  ,Job Description for Tradebulls - Head - Compliance  in Tradebulls Securities PVT. LTD in  Ahmedabad for (10-20) years of experience. Apply Now!

Job Description for Tradebulls - Head - Compliance  in Tradebulls Securities PVT. LTD in  Ahmedabad for (10-20) years of experience. Apply Now!