Compliance Officer - stock broking

GATEWAY FINANCIAL SERVICES LTD

8 to 12 yrs. Kolkata
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Posted on 12 Nov 2018

Job Description

Job Summary-
Urgent require Compliance Officer for leading Stock broking company in Kolkata. Membership of NSE, BSE, NSDL,MCX,NSDL
Responsibilities and Duties-
Overall responsible for managing Compliance function, AML & Investor Grievance with a team of 10 people.
- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI.
- Responsible for ensuring that the Ranking of the company doesn't come in Top 10 on the basis of no of complaints received at the end of Exchanges & Depositories.
- Handle all inspections conducted by Regulators, Exchanges & Depositories on annual basis.
- Represents the company in various industry bodies and in front of Regulator & exchanges for giving feedback on the discussion paper issued for the industry view and sending representation to regulators & exchanges

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