We are looking for a detail-oriented and proactive Compliance & Operations Executive to manage regulatory compliance, operational processes, and reporting for our capital markets business. The ideal candidate should possess hands-on experience with NSE, BSE, CDSL, SEBI regulations, compliance reporting, and back-office operations.
- Compliance Expertise:
- Must have expertise in NSE/BSE/MCX/NCDEX compliance related to stock broking.
- Capable of independently managing compliance for a ‘Proprietary trading firm’.
- Communication Skills:
- Must be skilled in communicating with stock broking firms.
- Portal Usage:
- Knowledgeable in using ‘Member Portal’ platforms like NSE ENIT, IMS, NMASS.
- Compliance Process Knowledge:
- Must have knowledge of the compliance process for a stock broking company.
- Must have experience with basic compliances like internal audit, VAPT audit, System Audit, etc.
- Technical Skills:
- Basic knowledge of MS Excel is required for this position.
Requirements:
- Communication:
- Robust communication skills are essential.
- Educational Qualification:
- Requires a bachelor’s degree from a reputable university.
- Experience:
- Minimum of 1-3 years of relevant experience in a ‘Stock Broking Company’.
- Location - Nariman point Mumbai