Compliance Officer- Capital Market Job in Young Turtle LLP
Compliance Officer- Capital Market
Young Turtle LLP
4+ weeks ago
- Ahmedabad, Gujarat
- Not Disclosed
- Full-time
Job Summary
Roles and Responsibilities
- Handle all Compliance for Prop Trading desk - Broking Firm & ensure that no regulatory non-compliance/observation is made during the inspection.
- Tracking all circulars/ regulatory requirements and communicating the same to relevant teams with actionable.
- Handling all regulatory inspections and audits.
- Manage and independently handle all stockbroking-related routine compliances.
- Actively involved in the interpretation and end-to-end implementation of circulars and regulations issued by the exchanges & SEBI.
- Tracking of surveillance alerts received from NSE/BSE at Member portal for necessary action.
- Working knowledge of Depository Participant/Portfolio Management Services/Advisory and Research regulations.
Minimum qualification requirement
Required - Compliance Officer skill with 3+ years experience
Required - Master or higher education
Required - Located in Ahmedabad
Required - Good command over English, Hindi
Experience Required :
0 to 5 Years
Vacancy :
1 Hire
Skills Required :
Algorithmic Trading Compliance, Broking Compliance
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