Compliance Executive, 2 to 5 years in Mumbai

Job Description

• Required Complaince Officer ( Stock Broking) An efficient complaince officer from Stock Broking Industry
• Should have minimum 4-5 years of experience in stock broking complaince
• Should be able to handle exchange reportings appropriately ( Daily, Weekly , Monthly)
• Should be able to handle all audit related 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 compliance related 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 equity market and big broking houses.
• Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.
• Drafting of various observations of the queries raised by Exchanges/ SEBI.