Compliance Officer S....
Compliance Officer Stock Broking
Posted on :
12-02-2024
Employer Active
1 Vacancy
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Job Description
Req ID : 2524736
Required Compliance Officer( Stock Broking) An efficient complaince officer from the Stock Broking Industry
Should have minimum 45 years of experience in stock broking complaince
Should be able to handle exchange reportings appropriately ( Daily Weekly Monthly)
Should be able to handle all auditrelated matters independently ( Internal and External)
Must have handled Exchanges (NSE BSE MCX MCDX Etc) and SEBI Audits Must have handled Depository ( NSDL/CDSL) Audits Sound knowledge of latest regulations
Handled compliancerelated inspections/ Audit of various types of Brokers of the Exchange including Small & Medium Size stock brokers proprietary traders brokers having institutional clients banks dealing in the equity market and big broking houses.
Conducting indepth financial analysis and risk assessment of stockbroker to gauge their solvency and to evaluate the potential risk they pose to the system.
Drafting of various observations of the queries raised by Exchanges/ SEBI.
compliance,risk,assessment,financial analysis,mcx,nse,regulations,risk assessment,institutional,conducting
Employment Type
Full Time
Key Skills
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