Compliance Role - Broking Firm

Role - Compliance Officer

Core Purpose of the Role :

- Responsible for company affairs

- Represent company in legal matters

- Provide legal & compliance perspectives to businesses

- Managing compliance aspects

- Information Memorandum

- SEBI/NSE guideline

- Company law- Issuance

- Compliance Management

- Periodic submission to the Broking and DP Compliance and Operations team.

- Overall handling of (BSE, NSE CDSL & NSDL) related compliances