hireejobs
Register for Job
Hyderabad Jobs
Banglore Jobs
Chennai Jobs
Delhi Jobs
Ahmedabad Jobs
Mumbai Jobs
Pune Jobs
Vijayawada Jobs
Gurgaon Jobs
Noida Jobs
Oil & Gas Jobs
Banking Jobs
Construction Jobs
Top Management Jobs
IT - Software Jobs
Medical Healthcare Jobs
Purchase / Logistics Jobs
Sales
Ajax Jobs
Designing Jobs
ASP .NET Jobs
Java Jobs
MySQL Jobs
Sap hr Jobs
Software Testing Jobs
Html Jobs
IT Jobs
Logistics Jobs
Customer Service Jobs
Airport Jobs
Banking Jobs
Driver Jobs
Part Time Jobs
Civil Engineering Jobs
Accountant Jobs
Safety Officer Jobs
Nursing Jobs
Civil Engineering Jobs
Hospitality Jobs
Part Time Jobs
Security Jobs
Finance Jobs
Marketing Jobs
Shipping Jobs
Real Estate Jobs
Telecom Jobs

Manager - Compliance - Securities Market - CS/LLB

5.00 to 10.00 Years   Ahmedabad   08 Nov, 2022
COE SOLUTION CONSULTING LLP
Job LocationAhmedabad
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / TaxSales / BD
EmploymentTypeFull-time

Job Description

    Manager - Compliance-Securities Market Qualification CS + LLB with 5 Year experience in Securities MarketShould be comfortable to relocate to GIFT City. Required Male candidate Experience required in: - SEBI/IFSCA - Alternative Investment Fund Compliances- KYC and Anti Money Laundering Compliance- Insider Trading Monitoring- Drafting of policies and procedures- ROC and Secretarial compliances- SEZ Compliances- Legal drafting and vetting Job role: 1. Prepare substantial written responses to regulatory requests and Examination Reports2. Provide Compliance support for municipal sales and trading desk (retail compliance experience a plus) and Public Finance, related support functions3. Identifying risks inherent in the conduct of the prime brokerage and clearing business, and implementing strategic and tactical means of addressing such risks4. Testing controls and processes in the prime brokerage and clearing business for effectiveness, and reviewing business conduct for potential issues5. Advising the business regarding the rules, regulations and firm policies relating to the firms providing prime brokerage and clearing services for its clients6. Provide daily advisory support business management7. Be responsible for implementation Corporate Compliance Policies and procedures regarding customer due diligence, internal controls, reviews of advertising and Marketing materials, conduct annual and specialized training, and execute special projects as assigned within his perimeter of responsibilities,

Keyskills :
due diligencepublic financetrading deskanti money launderinginternal controlsspecial projects

APPLY NOW

Manager - Compliance - Securities Market - CS/LLB Related Jobs

© 2019 Hireejobs All Rights Reserved