Key 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.
Pay: ₹500,000.00 - ₹800,000.00 per year
Work Location: In person
📌 Compliance Officer Broking Vile Parle
🏢 ROOTS RECRUITMENT SERVICES
📍 Vile Parle
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