Compliance Officer (Broking) (Mumbai)

Compliance Officer (Broking) (Mumbai)

10 Oct
|
Roots Recruitment
|
Mumbai

10 Oct

Roots Recruitment

Mumbai

Role & 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

📌 Compliance Officer (Broking) (Mumbai)
🏢 Roots Recruitment
📍 Mumbai

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