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Compiance Executive for Equity Broking

0.00 to 5.00 Years   Mumbai City   16 Apr, 2019
Intact Search
Job LocationMumbai City
EducationNot Mentioned
Salary< Rs 50,000 - 2.5 Lakh/Yr
IndustryBFC ( Non Banking Financial Services )
Functional AreaSecurities Trading
EmploymentTypeFull-time

Job Description

Greetings for the day.Urgent opening for Compliance executive for equity broking company.Brief Job Description for the role:

  • 1. Well versed with communication skills (Verbal+ Written), MS-office (excel, word, etc).
  • 2. Well versed with capital market and guidelines issued by regulators including SEBI, NSE, BSE, MSEI, NSDL, CDSL, FIU from time to time.
  • 3. Understanding of AML concepts in several of the areas like - AML investigation workflows, case management, KYC, transaction monitoring, and suspicious transactio
  • 4. Analyzing all types of Exchange & Depository alerts.
  • 5. Scrutinizing internal alerts of both Market abuse & Antii-Money Laundering. (On trackwizz)
  • Market surveillance.
  • 6. Making of ground of suspicious before filing STR. Filing of STR.
  • 7. Basic knowledge of KYC (PEP & Circular based surveillance)
  • 8.Preparation of MIS on EOD basis of the Alerts generated, closed and escalated.
  • Preparation of MIS of AML placed before Board
Experience : 2 yearsSalary : As per the company normsLocation : KanjurmargKajol GaikwadEmail: kajol.intactsearch@gmail.comContact no. 7045005285

Keyskills :
compliancequitybrokingequitytradingequitysalesequitydealertradingofderivatives

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