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Sbicap Securities

Hi,

SBI Securities is hiring for Compliance role with min. 2 years' experience in Indian broking House.

Key Deliverables / Accountabilities

Handling the concurrent / Internal audit of Depositories / Exchanges
Conduct continuous test checks to identify potential risks and ensure compliance with the regulatory requirements.
Day to day query handling in relation to regulatory area of SEBI, Exchanges and Depositories
Handling the Inspection of Depositories / Exchanges
Liaison with Regulators on various regulatory matters
Ensuring timely and accurate regulatory submissions to exchanges, Depositories, various PMS submissions, etc.
Preparing various reports & MIS for senior Management & Board of Directors.
Managing approvals of various client communications prepared by internal stakeholders.
Providing compliance approvals for various business activities including advertisements and business arrangements/proposals.

Competencies Required

A. Self-starter

B. Team player

C. Multitask

D. Result Orientation

E. Team handling and supervising

Essential Educational & Experience Qualification

Qualification Needed: A bachelors degree in commerce, finance, business administration or a related field.

Relevant Experience: At least 3-4 Experience in Broking and Depository Participant (DP) compliances

Interested candidate can share cv at tulsi.karki@sbicapsec.com or call on 8290141000 between 10am-5pm mon.-fri.

Thanks,

Tulsi Karki