Compliance Officer

Staffio HR
  • Mumbai
  • 10-15 lakh
  • 4-8 years
  • 19 Oct 2016

  • Compliance/ Regulatory

  • Banking - Retail
Job Description

Compliance Officer

Entity - Religare Capital Markets Ltd.

Division: Institutional Equities & Investment Banking Department

Location - Indiabulls Finance Centre, Mumbai

Position - Compliance Officer

Job Responsibilities :

- You will be responsible for role of business and regulatory compliances as required by SEBI, NSE, BSE, clients/stakeholders and other regulatory authorities.

- Establishing, implementing and managing the compliance framework.

- Providing Compliance advice to the business.

- Handling day-to-day Regulatory Compliance.

- Handling BSE, NSE & SEBI Inspection & audit

- Co-coordinating with exchanges for any compliance related issues.

- Handling compliance matters related to investment banking department

Competencies/Skill sets for this job

Regulatory Banking Investment Sebi Regulatory Compliance

Job Posted By

HS Sandesh
Talent Evangelist

About Organisation

Staffio HR