Vacancy Description
Responsibilities
- Hands on experience of Research Regulation and instituion broking
- Prior experience of SEBI/SEs’ inspection
- Independently handle SEBI/SE queries relating Research and Broking business (transaction related)
- Updating business team on regulatory circulars and implementing the same
- Monitoring NISM certification for Research Team
- Coordinating with Regulators on periodic submissions and reporting
- Monitoring Insider Trading compliances
- Handling Investor grievances
- Review of Agreements
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अभी आवेदन करें
Submit your application for Compliance Manager (institution broking) at Intellectual Capital HR Consulting Pvt. Ltd.
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