Assistant Compliance Manager - Stock Broker / Research Analyst / Depository Participant
Ashika GroupKolkata, India21 days ago
Job descriptionEnsure timely and effective implementation of circulars, directives, and guidelines issued by regulatory authorities and stock exchanges. Prepare and coordinate the compilation of documentation and data for regulatory inspections, conducting detailed analysis in collaboration with relevant departments, and promptly escalate any critical findings or observations to the Compliance Officer. Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels, ensuring prompt and effective coordination with relevant departments. Conduct detailed analysis of each complaint and prepare comprehensive reports for review and approval by the Compliance Officer. Verify the details of IBT, CTCL, and other system configurations to ensure full compliance with regulatory requirements and internal standards. Develop and implement monitoring mechanisms to detect and address discrepancies in contract notes, daily margin statements, client segregation and holdings, ensuring strict adherence to standards prescribed by the exchanges. Maintain comprehensive records pertaining to Authorised Persons, including their registration, termination, inspections, and periodic reporting, in accordance with applicable exchange regulations and guidelines. Oversee compliance and regulatory reporting obligations related to Research Analyst activities and ensuring adherence to SEBI regulations. Facilitate the timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems by coordinating effectively with relevant departments, clients, Authorised Persons, and regulatory bodies.
Role Requirements :
- Postgraduate qualification in any discipline.
- 9 years of dedicated experience in Broking Business, Research Analyst (RA), and Depository.
- Participant (DP) compliance.
- Excellent command of the English language, both written and verbal.
- Proficiency in Microsoft Office, including Word, Excel, and PowerPoint.
- Professional appearance and grooming.
- Strong enthusiasm for continuous learning and professional development
(ref : iimjobs.com)
Create a job alert for this search
Manager Compliance • Kolkata, India
Related jobs
Certivo turns regulatory evidence into market access.Our AI, CORA, automates supplier outreach, data extraction, and rule checks, then assembles market-ready packets mapped to every product × site ...Show moreLast updated: 11 days ago
)
- Promoted
GRC Analyst
DemandbaseKolkata, IN Demandbase is seeking a motivated and detail-oriented GRC Sr Analyst to support its global Governance, Risk, and Compliance program.
Reporting to the Senior Director of GRC, you’ll collaborate cross...Show moreLast updated: 22 days ago
- Promoted
Manager- SACCR / Counterparty Credit Risk
Evalueservekolkata, west bengal, in Elevate Your Impact Through Innovation and Learning.Evalueserve is a global leader in delivering innovative and sustainable solutions to a diverse range of clients, including over 30% of Fortune 50...Show moreLast updated: 13 days ago
- Promoted
Marketing Compliance
CESkolkata, west bengal, in We’re currently looking for an Analyst / Team Lead / AM - Marketing Compliance and I think you could be a good fit.We are looking for 6+ years of experience in Marketing Compliance, I’d like to tell y...Show moreLast updated: 30+ days ago
- Promoted
Forward Deployed Analyst (Ex-IB / PE / HF / Buyside)
ArcanaKolkata, IN Forward-Deployed Analyst – Portfolio Intelligence.Arcana builds institutional-grade analytics for leading hedge funds and asset managers.
We’re hiring exceptional analysts to partner with portfolio ...Show moreLast updated: 30+ days ago
- Promoted
Compliance Engineer - Sustainability Compliance (Remote)
Certivokolkata, west bengal, inRemote
- Promoted
Finance & Research Analyst - 33806
Turingkolkata, west bengal, in Turing is one of the world’s fastest-growing AI companies, accelerating the advancement and deployment of powerful AI systems.
Turing helps customers in two ways : Working with the world’s leading AI...Show moreLast updated: 21 days ago
- Promoted
Compliance and Contracts Specialist
Emerituskolkata, west bengal, in The Compliance & Contract Management Services Department is looking for a Compliance and Contracts Associate to assess, analyze, draft, review, negotiate and finalize contracts, compliance, invoice...Show moreLast updated: 1 day ago
- Promoted
Loss Prevention Analyst
Relay Human Cloud Indiakolkata, west bengal, in Relay Human Cloud is a young & dynamic company that helps some of the top US-based companies to expand their team internationally.
Relay is a truly global company having its operations in US, India,...Show moreLast updated: 1 day ago
- Promoted
Financial Crime Compliance
AML RightSourcewest bengal, west bengal, in As a Manager within our Financial Crime Compliance Delivery Team, you will be responsible for leading a team of analysts by providing the coaching and oversight needed to ensure all projects meet o...Show moreLast updated: 12 days ago
- Promoted
Sr. Associate - Risk Advisory (HITRUST)
Cherry Bekaertkolkata, west bengal, in Cherry Bekaert is a nationally recognized CPA firm with over 75 years of experience providing assurance, tax, and advisory services to our clients.
We are seeking a Senior Associate (HITRUST) to joi...Show moreLast updated: 15 days ago
- Promoted
Compliance Specialist – Affordable Housing (LIHTC)
Castellan Real Estate Partnerskolkata, west bengal, in Compliance Specialist – Affordable Housing (LIHTC).Remote (Based in India, supporting California projects).Full-time | Must be available to work in Pacific Standard Time (PST) overlap hours.We are ...Show moreLast updated: 1 day ago
- Promoted
SOC & ISO 27001 Compliance Specialist
Somnetics (Som Imaging Informatics Pvt. Ltd.)west bengal, west bengal, in We’re looking for a detail-driven Compliance Specialist to help lead our SOC 2 and ISO 27001 initiatives.You’ll manage audits, maintain policies, assess risks, and work cross-functionally to ensure...Show moreLast updated: 20 days ago
- Promoted
Analyst
Exbo Groupwest bengal, west bengal, in Exbo Group / Kena International is looking for an exceptional individual to join our transaction services team.This is an opportunity to become an integral member of a rapidly growing business with l...Show moreLast updated: 30+ days ago
- Promoted
Senior Manager - Risk and Compliance
Good Business LabKolkata, IN We use rigorous academic research to prove that worker well-being programs have business impacts.We develop market-ready, scalable interventions that benefit both workers and businesses.Our goal is...Show moreLast updated: 1 day ago
- Promoted
Portfolio Coordinator / Pipeline Manager
Cimpress IndiaKolkata, IN Cimpress has created a new business called Cimpress Open whose mandate will be to excel at serving customers via third-party channels.
Cimpress Open harnesses the power of our state of the art Mass ...Show moreLast updated: 12 days ago
- Promoted
KYC / AML Due Diligence
AKM Globalkolkata, west bengal, in KYC / AML Due Diligence Specialist,.White Collar crime defense team, advising clients—including leading global financial institutions—on building and managing robust anti-money laundering (AML) and c...Show moreLast updated: 1 day ago
- Promoted
US Federal Contracts Support Analyst
Allwyn Corporationkolkata, west bengal, in We are seeking a detail-oriented and motivated.US Federal Contracts Support Analyst.The role will involve working closely with U.
Federal Acquisition Regulation (FAR), Defense Federal Acquisition Re...Show moreLast updated: 30+ days ago
- Promoted
Analyst (Investment Banking / Buy-Side Experience Required)
Arcanakolkata, west bengal, in Arcana is a portfolio intelligence platform used by hedge funds and asset managers to analyze performance and risk.We’re rethinking the tools institutional investors rely on—and we’re hiring analys...Show moreLast updated: 30+ days ago