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BriefCase

Compliance Manager Job in Systematix Shares And Stocks (india) Limited

Compliance Manager

Systematix Shares And Stocks (india) Limited 4+ weeks ago
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Job Summary Job Code : SYS/2020-21/ Compliance 2 Post : Compliance Manager Qualification : Post graduate and NISM (SORM and or Compliance officer) Certification Location : Mumbai - BKC Experience : 5 to 10 years No. Of Positions : 1 Job Description : Handling Branches & Authorised Persons Queries Branches & Sub broker audits To disseminate & implement Exchange circular & guidelines Handling SEBI / Exchange Inspection & Internal Audit Submission of Reports to Exchange (Annual Returns/Annual Compliance Report) Submission of application for changes in Management/Capital Structure Reply to queries/notices of Exchange Handling Client Grievances & attending IGRP meeting Drafting and vetting of agreements, MoUs with insurance companies. Liaoning with external counsel with respect to litigations. Updating and maintenance of legal tracker. Key Responsibilties : Education: Post graduate and NISM (SORM and or Compliance officer) Certification Candidate perferred from broking industires.

Company Profile :

Systematix Group is a professionally managed Mumbai based niche player in the Financial Services Market with a pan India presence through Branches and franchisee network. The group offers a rich spectrum of financial services encompassing Merchant Banking, Capital Market Services, and Consulting & Broking. For our exponentially growing business and ambitious plans.

Above position call for excellent communication, presentation, networking and entrepreneurial abilities. Compensation would be at par with the Industry and would not be a constraint for right Candidate. Interested candidate should apply indicating the position to: Email:

Experience Required :

Fresher

Vacancy :

2 - 4 Hires

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