Company Logo

Compliance Executive

at  LATIN MANHARLAL(Posted by latin manharlal)

Compliance Executive

at  LATIN MANHARLAL(Posted by latin manharlal)

Job has stopped accepting applications

SalarySalary

25K  - 30K  PM

ExperienceExperience

2 yrsto3 yrs experience| Resume Required

LocationLocation

Mumbai, Mumbai

Share via

Share via EmailShare via FacebookShare via LinkedinShare via Whatsapp

Additional Details

Job Type

Full Time

Shift Timings

9:30 AM - 6:30 PM(day shift)

Working Days

5 days

Job Requirements

Education

Graduation degree preferred

Bachelor of Commerce (B.Com.) preferred

Experience

2 yrs to 3 yrs of experience as Other in Banking / Financial Services / Insurance preferred

Age

Above 18 yrs

Gender

Male preferred

Communication

Good English skills - Ability to Speak, Read & Write

Job Description

Handling all statutory compliances of  Trading Member with  all exchanges

1.  Member Activation &  surrender procedure

2. Updating & getting approval of change in Trading Member details Like :

  • Change in Shareholding Pattern
  • Change in Director’s & their details
  • Change in member Contact details
  • Change in compliance officer details etc….
  • 3. Submission of Annual returns

4. Submission of  Quarterly compliance certificate

5. Submission of Yearly / Half yearly net worth Certificate

6. Submission of internal Audit report , RBS submissions Etc……

7. Co-ordinating in SEBI /Exchange inspections persons compliance requirements related to Authorised & Sub-brokers

  • . Preparation of initial documents of new intermediary / Franchisees to get them registered with Trading Member.
  • . SEBI/Exchange Registration, Cancellation & Affiliation Documents of the sub-broker/Authorised Person’s.
  • . Maintaining database of all Authorised Persons/Sub-brokers/Branches documents
  • . Handling APs / Sub-broker/Branches queries related to compliance department.
  • . Resolving the exchange queries for all statutory compliance related issues.

8. Enrolling all users at NISM / NCFM / My MCX portal to get all mandatory certifications. I.e. Equity derivative Certification, SORM certification, Research Analyst, MCCP and NCFE etc...

9. Keeping records, files & database related to compliance department

Company Details

Company Logo

LATIN MANHARLAL(Posted by latin manharlal)

http://www.latinmanharlal.com

Small & Medium Enterprises (SMEs)|Banking / Financial Services / Insurance|50-200 Employees

Latin Manharlal Group, incorporated in 1989, offers financial
consultancy services in India and has become synonymous with reliability and
trust. For us, safeguarding the interest of our investors is the uppermost
concern. Therefore, our aim is to simplify the investment process by offering
360-degree view on financial planning that suit the goals and needs of our
clients.

Compliance Executive

at  LATIN MANHARLAL(Posted by latin manharlal)

Salary

25K  - 30K  PM

Location

Mumbai, Mumbai

Experience

2 yrsto3 yrs experience

Apply to Similar Jobs:

Job Name

Details

Requirements

₹2.40Lac - 3.20Lac CTC

Bandra West, Mumbai

2 openings

Graduation

3 yrsto7 yrs experience

24 - 33 yrs age

Apply with CV

Approved on 12 Sep

₹12,000 - 20,000 PM

Mulund West, Mumbai

25 openings

Graduation

6 months experience

18 years and above

Females Only

Apply

Approved on 01 Apr

₹20,000 - 25K PM

Bengaluru, Bangalore Urban

10 openings

Graduation

1 yrto2 yrs experience

18 - 23 yrs age

Apply

Approved on 20 Oct

₹15,000 - 30K PM

Bengaluru, Bangalore Urban

3 openings

Graduation

Freshers can Apply

3 yrs experience

18 years and above

Apply with CV

Approved on 15 Feb

₹9,000 - 10,000 PM

Bengaluru, Bangalore Urban

6 openings

Graduation

Freshers can Apply

18 years and above

Apply

Approved on 25 Jun

₹18,000 - 28K PM +Benefits

J P Nagar, Bengaluru

4 openings

Graduation

1 yrto4 yrs experience

22 - 30 yrs age

Apply with CV

Approved on 27 Mar

₹2Lac - 3Lac CTC

Indore, Indore

30 openings

Graduation

6 monthsto1 yr experience

18 years and above

Apply

Approved on 13 Feb

₹2Lac - 2.60Lac CTC

Hyderabad, Telangana

5 openings

Graduation

Freshers can Apply

18 - 30 yrs age

Apply with CV

Approved on 09 Oct

₹20,000 - 30K PM

Vidyavihar, Mumbai

2 openings

Graduation

6 monthsto2 yrs experience

18 - 25 yrs age

Preferably Males

Apply with CV

Approved on 16 Feb

₹25K - 30K PM +Benefits

Sector 65, Noida

4 openings

Graduation

6 monthsto3 yrs experience

22 - 35 yrs age

Males Only

Apply with CV

Approved on 20 Mar

₹1Lac - 1.80Lac CTC

Bangalore Urban, KA

1 opening

Graduation

Freshers can Apply

18 - 35 yrs age

Males Only

Apply with CV

Approved on 14 Feb

₹5,000 - 15,000 PM

Mumbai, Mumbai

5 openings

Graduation

1 yrto2 yrs experience

18 - 37 yrs age

Apply with CV

Approved on 10 Nov

₹4Lac - 4Lac CTC

Bengaluru, Bangalore Urban

1 opening

12th Pass

3 yrsto3 yrs experience

20 - 35 yrs age

Preferably Males

Apply with CV

Approved on 16 Sep

₹25K - 30K PM

Bengaluru, Bangalore Urban

10 openings

Graduation

1 yrto3 yrs experience

20 - 35 yrs age

Preferably Males

Apply

Approved on 19 Mar

₹8,000 - 10,000 PM +Benefits

Mumbai, Mumbai...+3 others

9 openings

Graduation

6 months experience

0 - 34 yrs age

Apply

Approved on 13 Jan

₹5,000 - 15,000 PM

Mumbai, Mumbai...+3 others

15 openings

Graduation

6 monthsto5 yrs experience

21 years and above

Apply with CV

Approved on 29 Apr

₹60K - 1.50Lac CTC

Mumbai, Mumbai...+2 others

15 openings

Graduation

1 yrto8 yrs experience

18 years and above

Apply with CV

Approved on 29 Jul

₹8,000 - 10,000 PM

Ghatkopar East, Mumbai

2 openings

Graduation

1 yr experience

18 years and above

Preferably Females

Apply with CV

Approved on 08 Feb

₹60K - 1.50Lac CTC

Bandra East, Mumbai

6 openings

Graduation

1 yrto20 yrs experience

23 years and above

Apply with CV

Approved on 23 May

₹1.50Lac - 2Lac CTC

Andheri East, Mumbai

4 openings

Graduation

6 monthsto1 yr experience

20 years and above

Apply with CV

Approved on 11 Jun

Note: Aasaanjobs does NOT ask money from jobseeker anytime. If a company is asking money from jobseeker, it is most probably a scam.