Opportunity For A Compliance Role With SBI Securities
Risk Management & Compliance
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Job Description
Role: Compliance
Department: Legal & Compliance
:
- 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.
Qualification Needed: A bachelor's degree in commerce, finance, business administration or a related field.
Relevant Experience: At least 3-4 years of experience in Broking and Depository Participant (DP) compliances
Interested candidates can share CVs on ruchi.kedia@sbicapsec.com
Skills
Regulatory GuidelinesRegulatory AffairsCompliance ManagementExchange ComplianceRegulatory ComplianceExchange ServerRegulatoryComplianceComplianceCompliancesRegulatoryRegulatory RequirementsRegulatory SubmissionsIf a job posting appears fraudulent, asks for payment, contains misleading information, or violates our guidelines, please report it immediately. Our team will review it promptly, Jobaaj does not charge any fee from the applicants.
About Company
We are proud of our lineage. SBICAP Securities Ltd (SSL) is the broking arm of the State Bank Group and a wholly owned subsidiary of SBI Capital Markets Ltd. SSL commenced operations in the first quarter of the financial year of 2006-2007 with a view to providing primary and secondary capital market access to investors both within the Group as also in the wider public domain. SSL seeks to become a leading financial intermediary, having a diversified customer base, broad range product offerings and State-of- the-Art execution and servicing capabilities and believes that financial inclusion can be achieved in Capital markets through affordable institutionalized, professional set ups that bring transparency and reliability to the table. The Company currently has in its fold a wide segment of clients including Banks, Financial Institutions, FIIs, Mutual Funds, Corporates, High Networth Individuals, Non-Resident Indians and Retail domestic investors. Its broking product range covers Institutional and Retail Equity, Derivatives, Depository Participant services, On-Line trading and a wide variety of Third Party Distribution products.
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