Employment Information
- "We are looking for a suitable candidate for compliance profile of Stock Broking company based out of Mumbai. CS with LLB preferred fresher and if having experience of capital market would be an added advantage. Candidate should possess good communication skills and zeal to learn, prospective candidate being part of compliance team, would be handling following work profile.
- Assisting in regulatory submissions for Broking, DP and PMS licence.
- Handling Research Analysts related compliances.
- Preparing initial drafts of the regulatory communications.
- Assisting during regulatory audits and inspection
- Assisting in regulatory compliance in a stockbroking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc."
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