Search Results: 18 vacancies
Rs 10 - 20 lakhs p.a.
...regulatory compliance in a stock broking 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 &...
...regulatory compliance in a stock broking 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 &...
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...
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,...
...includes designing forms; activating online platforms for fresh purchase and communication to the investors/ brokers.
Liaison with CDSL/NSDL for listing new and roll-over schemes on the BSE/ NSE platform.
Working on reports which needs to be shared with compliance to...
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...
...Company is registered with NSE, BSE, MCX, NCDEX, AMFI, CySEC and more. Further, the company
acts as Depository Participant with CDSL and as a Non-Banking Financial Corporation (NBFC) after
receiving approval from RBI. The company received FDI funding from some of the...
Rs 10 - 12 lakhs p.a.
...Board of Directors and its committees.
- To coordinate and co-orperate with our RTA, Auditors, various departments, BSE &
NSE, NSDL & CDSL, etc.
- To monitor and ensure compliances of various other unlisted public and private
companies.
- To deal with various...
...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...
...regulations, and circulars.
Handle document preparation for communication and follow-up with key exchanges and depositories such as BSE, NSE, CDSL, and more.
Guide the application process for approvals related to changes in shareholding patterns, promoter changes, and...
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...
...Liaison with clients legal counsels registrar share transfer agents auditors and other intermediaries.
Liaison with BSE NSE SEBI NSDL CDSL and other authorities as per requirement.
Manage proper documentation for SME IPO and fund raising
Conducting Due Diligence....
...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
●...
...compliances
Filing of Form FC-GPR, FC-TRS including downstream reporting and FLA reporting under FEMA.
Coordination with RTA, NSDL and CDSL for various corporate action including payment of stamp duty on transactions
Incorporation of private limited companies and managing...
...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...
...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...
....
# CDAS Report Checking.
# Downloading files from CDAS as required.
# BO Grievance Report Submitting to CDSL.
# Upload the details of all complaints received during the month to all Exchanges (NSE/BSE/MCX) and on Website.
#...
...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...
