Position – Compliance Manager with a leading brokerage company
Location: Mumbai
Joining: Immediate
Compensation: Best in the Industry
Contact: jobs@avanceunlimited.com
Organization
Our company is a full service category A investment bank based out of London. The company has offices in Mumbai and Chennai. The company believes in India growth story and has been instrumental in transformation of fast growing Indian mid-cap companies into global majors. The company is sector agnostic and has undertaken transactions of more than $ 1 bn in last few years through various instruments.
The company is into institutional fund raising, M&A, brokerage, and asset management. The company is Category A investment bank authorized by the FSA, registered trader with the London Stock Exchange, a broker in London AIM market, Registered FII with Securities Exchange Board of India (SEBI), and is a Category 1 Investment banker with SEBI.
The company has recently launched Institutional broking operations in India and expanding team.
Role
The incumbent will be responsible for
• Formulation of policies and compliance guidelines for institutional trading
• Compliance activities pertaining to KYC and as per SEBI guidelines
• Coordinating with authorities such as SEBI, NSE, BSE and Financial Institutions as required
• Preparation and maintenance of statutory records
Requirements
• Company Secretary with 3 to 5 years of experience as compliance officer
• Experience and understanding of equity broking business
• Understanding of SEBI, NSE and BSE guidelines
• Ability to work in a flexible, start-up environment
• Self-driven and task oriented
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