Job Description

Rikhav Securities ltd. is a Listed company in BSE, we are a stock broking firm since 2006. we are looking for the experience compliance officer from the Stock Broking Firm.

:

Responsible for regulatory compliance in a stockbroking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. Manage all operational processes as per regulatory framework to ensure exchange compliance. Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories. Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc. Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time. Assisting in handling Investor Grievances as per regulatory guidelines. Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines. Liaising with SEBI, Exchanges, Depositories for routine matters Ensure process-oriented, TAT-driven process as per defined SOP. Mentor and monitor team to ensure high level of accuracy and timely execution. Handling regulatory audits of SEBI, Exchanges, etc. Any other compliance matters as assigned from time to time.

Eligibility:

B.COM/INTER CA/CA MINIMUM5 YEARS OF EXPERIENCE IN BROKING FIRM OPERATIONAS ONLY. Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up. Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature. Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.

Role:

Legal & Regulatory - Other

Industry Type:

Financial Services (Broking)

Department:

Legal & Regulatory

Employment Type:

Full Time, Permanent

Job Type: Full-time

Pay: ?25,000.00 - ?100,000.00 per month

Benefits:

Flexible schedule Leave encashment
Schedule:

Day shift
Supplemental Pay:

Yearly bonus
Experience:

total work: 5 years (Required)
Work Location: In person

Application Deadline: 31/05/2025
Expected Start Date: 10/06/2025