Job Description

Job descriptionCompliance Manager for Broking House/Stock Exchange/ Capital Market/ Share Market/Mutual Fund/ Equity MarketJob descriptionExperience : 8-12 years of experience (post qualification Experience)Age : Below 40Salary : As per market standardsEducational Qualification : Qualified Company Secretary (Additional Law Degree would be given preference) :o Handling the corporate secretarial and related matters and managing all day to day secretarial functions and record keeping for the companyo Handling all company secretarial compliances under the Companies Act, 2013.o Compliances with the provisions of the RBI- NBFC regulations and related submissionso Handling legal/documentation during fund raising/borrowing and related documentation including term sheets, shareholders agreements, etco Assistance in loan document drafting, pre and post disbursement compliances of the loan portfolioHead Compliance and Operations DepartmentJob Purpose: We are looking for a Senior Compliance Officer/Manager to ensure that our operations and business transactions follow all relevant legal and internal rules. He will also review employees work and provide advice on compliance.Responsibilities:Selected Heads day-to-day responsibilities include:Develop and implement an effective legal compliance programCreate sound internal controls and monitor adherence to themDraft and revise company policiesExecuting audit plans, audit program, and reportsProactively audit processes, practices and documents to identify weaknessesEvaluate business activities (e.g. investments) to assess compliance riskAddress employee concerns or questions on legal complianceEducate and train employees on regulations and industry practicesAddress employee concerns or questions on legal complianceKeep abreast of internal standards and business goalsAttending new client meetings & preparation of proposalsRequisite Skills:Proven experience as a Compliance OfficerExperience in risk managementExcellent communication skills in English and Hindi both.Integrity and professional ethicsTeam management skillsEducation:-Required Age:- 35-45yrEducation: CS/LLB/MBAJob Type: Full-timeSalary: 100,0000.00 - 1,800,000.00 per yearSpeak with the employer+91 9300961899Job descriptionCompliance Manager for Broking House/Stock Exchange/ Capital Market/ Share Market/Mutual Fund/ Equity MarketJob descriptionExperience : 8-12 years of experience (post qualification Experience)Age : Below 40Salary : As per market standardsEducational Qualification : Qualified Company Secretary (Additional Law Degree would be given preference) :o Handling the corporate secretarial and related matters and managing all day to day secretarial functions and record keeping for the companyo Handling all company secretarial compliances under the Companies Act, 2013.o Compliances with the provisions of the RBI- NBFC regulations and related submissionso Handling legal/documentation during fund raising/borrowing and related documentation including term sheets, shareholders agreements, etco Assistance in loan document drafting, pre and post disbursement compliances of the loan portfolioHead Compliance and Operations DepartmentJob Purpose: We are looking for a Senior Compliance Officer/Manager to ensure that our operations and business transactions follow all relevant legal and internal rules. He will also review employees work and provide advice on compliance.Responsibilities:Selected Heads day-to-day responsibilities include:Develop and implement an effective legal compliance programCreate sound internal controls and monitor adherence to themDraft and revise company policiesExecuting audit plans, audit program, and reportsProactively audit processes, practices and documents to identify weaknessesEvaluate business activities (e.g. investments) to assess compliance riskAddress employee concerns or questions on legal complianceEducate and train employees on regulations and industry practicesAddress employee concerns or questions on legal complianceKeep abreast of internal standards and business goalsAttending new client meetings & preparation of proposalsRequisite Skills:Proven experience as a Compliance OfficerExperience in risk managementExcellent communication skills in English and Hindi both.Integrity and professional ethicsTeam management skillsEducation:-Required Age:- 35-45yrEducation: CS/LLB/MBAJob Type: Full-timeSalary: 100,0000.00 - 1,800,000.00 per yearSpeak with the employer+91 9300961899
Education: CS (Company Secretary)r r r r r r r BL/LLB
Industry: Financial Services/Stockbroking

Skills Required