Investmentor Securities Ltd. is a fast-growing and leading full-service stock broker in Gujarat. Supported by experienced research analysts, the company offers in-depth market analysis and research reports. Known for its advanced technology-driven approach, clients can trade conveniently using the user-friendly mobile app from anywhere. With a solid commitment to customer satisfaction, the company has established itself as a trusted name in the stock-broking industry, building a loyal client base.
We are seeking a highly motivated and detail-oriented Compliance
Executive to join our esteemed team at Investmentor Securities Ltd. As a Compliance
Executive, you will play a vital role in ensuring our adherence to
regulatory guidelines and industry best practices. The successful candidate
will work closely with our compliance team to maintain and enhance our
compliance framework.
- Assisting in financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.
- Assistance to Stock Brokers, DP's and other clients regarding compliances.
- Implementing various circulars issued by NSE/SEBI.
- Client Co-Ordination and assisting team for the various audits.
- Monitoring of compliance functions.
- Liasioning with exchanges on everyday basis.
Experience:-6 months or more
*Inspection of NSE/BSE/SEBI would be an added advantage.*