Assistant Manager -Regulatory Compliance (Stock Broking)
Risk Management & Compliance
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Job Description
We are looking for a detail-oriented Assistant Manager Regulatory Compliance with 2-7 years of experience in a stock broking or financial services firm.
The role involves handling daily client margin and fund segregation reporting to stock exchanges (NSE/BSE/MCX), monthly/quarterly client fund settlement, reviewing regulatory alerts, and ensuring timely compliance with SEBI and exchange guidelines.
The candidate will also support internal audits, regulatory inspections, compliance documentation, SOP preparation, regulatory updates, and resolution of compliance-related queries and client complaints.
Interested candidates can share their updated CVs at: gamini.sharma@shareindia.co.in
Skills
Regulatory AffairsStockMarginsBrokingReportingManagementStock BrokingSEBIComplianceRegulatoryRegulatory ComplianceIf 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.
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