Research Compliance (Mumbai)

Research Compliance (Mumbai)

06 Aug
|
Intellectual Capital HR Consulting
|
Mumbai

06 Aug

Intellectual Capital HR Consulting

Mumbai

Role & responsibilities

Education : Person with relevant background (CS and/or LLB degree will be added advantage)

CTC: 20 to 25 lac

Work experience: 7-10 years

Location: Mumbai

Role:

Hands on experience of Research Regulation

Prior experience of SEBI/SEs inspection

Independently handle SEBI/SE queries relating Research and Broking business (transaction related)

Updating business team on regulatory circulars and implementing the same

Monitoring NISM certification for Research Team

Coordinating with Regulators on periodic submissions and reporting

Monitoring Insider Trading compliances

Handling Investor grievances

Review of Agreements.

📌 Research Compliance (Mumbai)
🏢 Intellectual Capital HR Consulting
📍 Mumbai

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