Broking Compliance - Mumbai, India - Arin Consultancy

Arin Consultancy

Verified Company

Mumbai, India

2 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Compliance Mumbai _Mumbai_ April 17, April 17, 2024 Financial Services

Job Overview:

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Office Location (Area) Mumbai
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Salary Offer 7- 8 LPA
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Course Type Full Time
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Min Required Experience (Years) 3
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Max Required Experience (Years) 0

To be aware of all Circulars and Regulations
Surveillance/ Show cause notice and Adjudicating Orders (SEBI/ BSE/ NSE/
MSEI/ MCX/ NCDEX/NSDL/CDSL) - Addressing and replying to the same
within defined timelines.
Branch and Franchisee visit for Quarterly Audit -following Compliance of
audit checklist as per Exchange guidelines.
Intra department and Exchanges queries/ requirements and clarifications
(RMS/ Settlement/ AOT/ PMS/ Franchisee Team/ Institution Team/
Branches/ Legal Team.)
Liasioning with the Exchanges, Depositories and Regulator

How To Apply:

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