Compliance Officer (trading & Securities)
Year Thane, Maharashtra, India
Job Description
b'
Job Title: Compliance Officer:We are seeking a dedicated and experienced Compliance Officer to join our team. The ideal candidate will play a crucial role in ensuring that our stock broking operations adhere to all relevant regulations and standards. Your responsibilities will include:
- Resolving New Queries: Efficiently address and resolve any new compliance-related queries that arise.
- Follow-up on Pending Queries: Monitor and follow up on pending compliance queries to ensure timely updates and resolutions.
- Dispute Resolution: Collaborate with advocates to consult on disputes and take necessary legal action as required.
- Trading and Settlement Facilitation: Ensure the seamless and efficient trading and settlement of securities.
- Regulatory Compliance: Maintain compliance with all SEBI, BSE, NSE, F&O, NCDEX, MCX, and MCX-SE regulations.
- Audit Management: Oversee and manage compliance audits from various exchanges to ensure adherence to all regulatory requirements.
- Compliance Reporting: Prepare and submit regular compliance reports to relevant authorities and internal stakeholders.
- Policy Implementation: Assist in the development and implementation of internal compliance policies and procedures.
- Risk Assessment: Conduct regular risk assessments to identify potential compliance issues and recommend corrective actions.
- Training and Development: Provide training to staff on compliance-related matters to ensure ongoing adherence to regulatory requirements.
- Experience: A minimum of 3 to 10 years of relevant experience in stock broking compliance.
- Knowledge: In-depth understanding of SEBI, BSE, NSE, F&O, NCDEX, MCX, and MCX-SE regulations.
- Skills: Strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements.
- Communication: Excellent written and verbal communication skills to effectively interact with internal teams, regulators, and legal representatives.
- Problem-Solving: Proven ability to resolve complex compliance issues and disputes.
- Salary Range: \xe2\x82\xb950,000 to \xe2\x82\xb91,00,000 per month, commensurate with experience and qualifications.
- Provident Fund
- Day shift
- Morning shift
- Thane, Maharashtra: Reliably commute or planning to relocate before starting work (Required)
- Current CTC and Expected CTC?
- Notice Period?
- total work: 3 years (Required)
Beware of fraud agents! do not pay money to get a job
MNCJobsIndia.com will not be responsible for any payment made to a third-party. All Terms of Use are applicable.
Related Jobs
Job Detail
-
Job IdJD3324303
-
IndustryNot mentioned
-
Total Positions1
-
Job Type:Full Time
-
Salary:Not mentioned
-
Employment StatusPermanent
-
Job LocationThane, Maharashtra, India
-
EducationNot mentioned
-
ExperienceYear