copy of Compliance Manager with Choice Broking
Job Title:
copy of Compliance Manager with Choice Broking
Job Description:
- Handle all Compliance for Retail broking & ensure that there is no regulatory non compliance / observation made during inspection.
- Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionable.
- Handling all regulatory inspections and audits
- Manage and Independently handle all stock broking related routine compliances
- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI
- Ensure that compliances related to SEBI, BSE/NSE, MCA are followed
- Handling of ROC compliances
- Conducting quarterly Board
- Enhance supervision working and reporting on weekly basis
Experience Range:
4 - 9 years
Educational Qualifications:
Any graduation
Job Responsibilities:
- Handle all Compliance for Retail broking & ensure that there is no regulatory non compliance / observation made during inspection.
- Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionable.
- Handling all regulatory inspections and audits
- Manage and Independently handle all stock broking related routine compliances
- Independently handle Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) filing
- Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy
- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI
- Ensure that compliances related to SEBI, BSE/NSE, MCA are followed
- Handling of ROC compliances
- Conducting quarterly Board
- Enhance supervision working and reporting on weekly basis
- Handling IGRP And Arbitration matter
Skills Required:
broking compliance , ROC compliances , Retail broking , Anti Money Laundering policy , SEBI Regulations , BSE , NSE , MCA , Arbitration matter
Job Code: KL-8UEW4XGQ
About Us
Choice Group is an End-To-End financial services conglomerate, encapsulating the entire range; we have come a long way. Each passing year we keep widening our service portfolio to keep pace with technological progress.
Lateral expansion followed out of a desire to put Financial Freedom within arm’s reach of everyone anywhere. To this end we have offices across India, presence in every major economic center, with business partners spread globally and a diligent team of professionals. We have expedited every complex transaction or any financial assistance that the clients have entrusted us with.
We offer array of specialized, multi-disciplinary professional services in Investment Banking, Management Consultancy, Broking & Distribution, Retail Loans, Audit and Assurance, Taxation, Cross Border Transactions and Compliance Services through our various professionally managed entities.
Website: www.choiceindia.com
Lateral expansion followed out of a desire to put Financial Freedom within arm’s reach of everyone anywhere. To this end we have offices across India, presence in every major economic center, with business partners spread globally and a diligent team of professionals. We have expedited every complex transaction or any financial assistance that the clients have entrusted us with.
We offer array of specialized, multi-disciplinary professional services in Investment Banking, Management Consultancy, Broking & Distribution, Retail Loans, Audit and Assurance, Taxation, Cross Border Transactions and Compliance Services through our various professionally managed entities.
Website: www.choiceindia.com
Why Us?
The vision of the Choice Group is reciprocally tied with its mission.
“To be the most preferred financial institution providing premium financial service world-wide and consistently delivering quality products and services to our Clients, business partners and society.”
We continue to follow this path unwavering in our focus and unflappable in our determination.
“To be the most preferred financial institution providing premium financial service world-wide and consistently delivering quality products and services to our Clients, business partners and society.”
We continue to follow this path unwavering in our focus and unflappable in our determination.
