Compliance Manager

-Role & Responsibility Develop & implement an effective compliance framework for

the company’s broking operations

-Monitor the compliance of the rules, regulations, notifications, guidelines,

instructions issued by regulators and exchanges

-Supervising daily settlements, return filing, client communications, monitoring

operations, reporting, empanelment, risk monitoring, other day to day back-office

work Stock Broking Develop & implement system & processes to resolve clients’

grievances and complaints

-Build and mentor the operations team to ensure efficient implementation of

processes

-Set plans to manage a crisis or compliance violation Create sound internal controls

and monitor adherence to them.

-Career Roadmap at least 3-5 years of experience in Compliance Spent at least 2 years

at an Online Broking Firm

• Experience

  3 - 5 Years

• No. of Openings

  1

• Education

  Graduate (CA, CS)

• Role

  Compliance Manager

• Industry Type

  Banking / Financial Services / Stock Broking

• Gender

  [ Male / Female ]

• Job Country

  India

• Type of Job

  Full Time

• Work Location Type

  Work from Office