Compliance Executive-stock Broking Industry - Ahmedabad, India - Investmentor Securities Ltd

Investmentor Securities Ltd

Verified Company

Ahmedabad, India

2 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

We are seeking a highly motivated and detail-oriented Fresher Compliance
Executive to join our esteemed team at Investmentor Securities Ltd. As a Compliance
Executive, you will play a vital role in ensuring our adherence to
will work closely with our compliance team to maintain and enhance our
compliance framework.

Investmentor Securities Ltd. is a fast-growing and leading full-service stock broker in Gujarat. Supported by experienced research analysts, the company offers in-depth market analysis and research reports. Known for its advanced technology-driven approach, clients can trade conveniently using the user-friendly mobile app from anywhere. With a strong commitment to customer satisfaction, the company has established itself as a trusted name in the stock-broking industry, building a loyal client base.

Job Description-

Assisting in financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.
Assistance to Stock Brokers, DP's and other clients regarding compliances.
Implementing various circulars issued by NSE/SEBI.
Client Co-Ordination and assisting team for the various audits.
Monitoring of compliance functions.
Liasioning with exchanges on everyday basis.

Required Qualifications-