Raghunandan Money – Investment Khushiyon Ka.
Manager Compliance – Stock Broking

Manager Compliance – Stock Broking

Designation : Manager Compliance – Stock Broking
Job Code :
No. of Openings : 01
Job Qualification : Any Graduate
Job Experience : 4 - 8 Years
Job Location : Agra
Job Type : Full time
CTC : 3 Lacs - 4 Lacs/Negotiable
Job Description : Look into and resolve investor grievance / complaints - Address legal and arbitration cases - Manage operational and regulatory compliance - Ensure zero non compliance, zero penalty - Ensure proper compliance under SEBI act, SCRA, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai and circulars issued by SEBI, NSE and BSE from time to time - Handle queries / investigation of stock exchanges and initiate action against the queries - Responsible for various periodical submissions to BSE and NSE - Attend audit & inspections carried out by various authorities prior and post inspection work - Ensure proper management of the various activities so as to avoid non-compliance
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