Average salary: Rs632,825 /yearly
More statsSearch Results: 23 vacancies
Rs 6 - 8 lakhs p.a.
...of executives. Candidate from Indian financial
broking industry and has experience in Indian compliance / PMLA process of BSE, NSE, CDSL and NSDL.
Job Description:
Overall handling of PMLA and Surveillance (BSE, NSE CDSL & NSDL) related compliances.
Review of STR...
...Securities Lending & Borrowing Scheme
Self Clearing Member
Clearing Member
Research Analyst Services
Depository Participant - CDSL & NSDL
Mutual Fund & IPO Marketing
We serve over +1,00,000 varied investor ---s across 600 locations in over 20 states in India through...
...compliances for issuance of Listing Non Convertible Debentures, Commercial Papers, FCCBs, ESOPs etc.
Coordination with Stock Exchanges, NSDL, CDSL, RTA etc.
Investor/shareholder management.
Analysis of regulatory updates of RBI, SEBI, MCA and ensuring communication to...
...financial solutions to clients. The company holds memberships with NSE, BSE, MCX-SX, MCX, NCDEX, ICEX, and is a depository participant with CDSL. L.F.C. Securities Pvt. Ltd. aims to provide efficient and cost-effective broking services to both Indian and global customers through...
...Responsible for compliances and coordination of with MCA, NSE, BSE, ROC, SEBI, CDSL, NSDL and Incorporation of Overseas Companies.
Responsible for compliances of SEBI & Company Law Regulations
Responsible for Quarterly and Annual Compliance of Stock Exchange.
Filing...
...Responsibilities:
● Stay abreast of all applicable laws, regulations and circulars issued by regulatory bodies such as NSE/BSE/MCX/CDSL/CVL KRA /SEBI and other relevant authorities
● Assisting various internal stakeholders for implementation of Exchange circulars
●...
...• Work closely with all the stakeholders i.e. management, auditors, bankers, investors, regulatory authorities like SEBI, NSE, BSE, & CDSL etc.
• Providing legal, financial and/or strategic advice during and outside of meetings.
• Advising directors and members of the senior...
...Daily .Â
Cross Bill Daily.Â
CDAS Report Checking.Â
Downloading files from CDAS as required.Â
BO Grievance Report Submitting to CDSL.Â
Upload the details of all complaints received during the month to all Exchanges (NSE/BSE/MCX) and on Website.Â
STR Reporting to...
...retail participants access to capital markets. Team of 80+ professionals. Member of NSE, BSE, MCX, MSEI and Depository Participant with CDSL. Has been external debt-free from the date of incorporation. Provides robust trading solutions with customer-centric services at the...
Rs 20 - 25 lakhs p.a.
...Finance from good institute
10 - 15 years of Experience in stock broking operations
Knowledge of back office software like LD and CDSL
Well verse with DKYC process and other broking norms
Vendor management,account opening, payin payout stock and funds, DP account,...
...DPrelated compliance applicable to the Company under SEBI Act SCRA Rules Regulations Byelaws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
Updating company forms and internal documents...
...Partners & their staff training on Investments Trading companys online trading platform.
Coordinating events for Business partners with NSE/NSDL/CDSL/AMCs
Liasoning with other departments to quickly resolve HNI client queries.
Broking,sub-brokers,Revenue generation...
...Liaison with clients legal counsels registrar share transfer agents auditors and other intermediaries.
Liaison with BSE NSE SEBI NSDL CDSL and other authority as per requirement.
Manage proper documentation as required by the Merchant banker.
Advising clients on good...
Rs 4.8 - 5 lakhs p.a.
...KEY RESPONSIBILITIES:
COMPLIANCES:
Responsible for compliances and coordination of with MCA, NSE, BSE, ROC, SEBI, CDSL, NSDL and Incorporation of Overseas Companies.
Responsible for compliances of SEBI & Company Law Regulations
Responsible for Quarterly and Annual...
...legislation and regulation s in India.
Manag e all tasks relating to Securities and their transfer and transmission and deal with CDSL/NSDL and Registrar and Transfer Agent
Drafting of various letters, minutes, notices, directors' reports, annual reports, etc....
Rs 10 - 14 lakhs p.a.
.... (From CBI, Income Tax Authority, Anti-Corruption Bureau, Crime Branch)
Handling Regulatory Complaints (NSE, BSE, GOVT., SEBI NSDL, CDSL)
Representing company before IGRP/IGRC
Liaison with Regulators for resolution of complaint
Ensure timely reporting of Regulatory...
...Carrying out KYC Checks and identification of key documents.
. Understanding of Anti Money Laundering (AML).
. DP knowledge (NSDL and CDSL) and NSDL and CDSL regulations.
. Will have to build familiarity with client on boarding processes.
. Will have to manage...
...Internal and External)
Must have handled Exchanges (NSE, BSE, MCX, MCDX, Etc) and SEBI Audits - Must have handled Depository ( NSDL/CDSL) Audits - Sound knowledge of latest regulations
Handled compliance-related inspections/ Audit of various types of Brokers of the Exchange...
...Securities Lending & Borrowing Scheme
Self Clearing Member
Clearing Member
Research Analyst Services
Depository Participant - CDSL & NSDL
Mutual Fund & IPO Marketing
We serve over +1,00,000 varied investor ---s across 600 locations in over 20 states in India through...
...and RBI
â— Drafting and submission of reply for Customer complaints
â— Dematerialization and Admission equity shares in NSDL and CDSL and liaison with Registrar and Transfer Agents (RTA)
â— Formation of ESOP trusts and its compliances
â— Filing of RBI returns...
