Job Description :
Job Description : Compliance Officer for Pro Trading Focused Stock Broker
Ensuring all the regular compliances for all the exchanges NSE BSE MCX and clearing corporations
Should be well versed to handle Inspection by any exchange and regulator
Complete all the necessary audit requirement timely and submit to relevant exchange and regulator
Coordinate internally with other departments to get the required information for all the relevant compliances
All the organization policies and procedures should be compliant with all the required compliance and whenever any changes in any regulation do update the same and implement it.
Take care of all the New Circular guidelines received from Exchange and regulator and implement them within required timeline
Take care of all the dealing activities in terms of their compliance with exchange and regulator
Do all the regular required reporting to exchange and regulator
Qualification : Any Graduate,
Skills :
Required skills and qualifications –
At least 3-4 years of experience with Stock broker in their compliance team.
Education
Bachelor of Science (B.Sc), Bachelor of Interdisciplinary Studies, Bachelor of Health Science, Bachelor Of Technology (B.Tech / B.E), Bachelor of Education (B.Ed), Bachelor of Music Education (B.M.E.), Bachelor in General Studies (BGS), Bachelor in Hotel Management (B.H.M), Bachelor of Liberal Arts (BLA / ALB), Bachelor of Homeopathic Medicine and Surgery (BHMS), Bachelor of Business Administration (B.B.A), MBBS, Bachelor of Applied Science (BAS), Bachelor Of Pharmacy (B.Pharm), Bachelors of Law (B.L / L.L.B), Bachelor of Commerce (B.Com), Bachelor Of Computer Application (B.C.A), Bachelor of Dental Surgery (B.D.S), Bachelor of Ayurvedic Medicine and Surgery (BAMS), Bachelor of Social Work (B.S.W), Bachelor of Arts (B.A), Bachelor of Architecture (B.Arch), Bachelor of Music
Skills Required
Compliance, Trading
Compliance Officer • Mumbai City, Navi Mumbai, Mumbai