MUMBAI · FULLTIME
Compliance Officer (Broking)
Roots Recruitment
Mumbai · onsite · Posted 13d ago
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₹4.0L - ₹8.0L PA2–6 yrsfulltimeMumbai
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Section · 01
About this role
Role & responsibilities
- Ensuring compliance with all rules & regulations framed by regulatory authorities like Exchanges, SEBI, CDSL, RBI etc.
- Answering any compliance related queries raised by exchanges /functional / operations departments.
- Assist in stock exchange audits for our broking firm.
- Should know account opening/closing/modification processes from start to end.
- Should have thorough knowledge regarding the operations of MTF
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Section · 02
Skills
Stock Exchange AuditAccounts ClosingStock ExchangeCdslMTFRBIcomplianceSebi RegulationsQuery ResolutionAccount OpeningAccount ModificationAccounting Operations