Compliance Manager jobs in Mumbai - Synapse Search Partners

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  • Job View 39 Views
  • Applicants Less than 5 Applicants
  • 2021-04-13 2021-10-13

Job Description

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

the companys 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 w.r.t 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

Key Skills

Industry

Banking / Financial Services / Stock Broking

Functional Area

Corporate Planning & Strategy / Management Consulting

Number of Vacancy

1

Qualification

M.B.A/PGDM, CA, CS


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