Posted on :
12-03-2024
Employer Active
1 Vacancy
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Monthly Salary
Not Disclosed
Salary Not Disclosed
Vacancy
1 Vacancy
Posted on :
12-03-2024
Job Description
Req ID : 2617062
Job Description:
- 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 riskbased supervision daily monitoring of client collaterals daily margin statements other periodic submissions etc.
- Assisting in ensuring exchange / DPrelated compliances applicable to the Company under SEBI Act SCRA Rules Regulations & Byelaws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
Employment Type
Full Time
Company Industry
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