A2Z Jobs Consultancy
Location
Gandhinagar | India
Job description
Required Compliance Officer( Stock Broking) An efficient complaince officer from the 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 the equity market, and big broking houses. Conducting in-depth financial analysis and risk assessment of stockbroker to gauge their solvency and to evaluate the potential risk they pose to the system. Drafting of various observations of the queries raised by Exchanges/ SEBI. Skills: compliance,risk,assessment,financial analysis,mcx,nse,regulations,risk assessment,institutional,conductingJob tags
Salary
