Manager - Compliance - Stock Broking

We are one of the top CA firm located in Mumbai having a more than 300 clients from Broking industry, Depository Participants, NBFC, AMC's etc. We have a presence at PAN India level.

Designation : Sr. Manager/ Chief Manager

Department : Compliance / Internal Audit

Industry : Stock Broking

Compensation : Best In Industry

Responsibilities :

- Handled compliance related inspections of various types of Brokers of the Exchange including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and big broking houses.

- Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.

- Conducting and managing Internal audits of various broking Houses

- Assisting and providing expert advice to Stock Brokers, DP's and other clients regarding compliances.

- Drafting of various observations of the queries raised by Exchanges/ SEBI.

- Implementing various circulars issued by NSE/SEBI

- Client Co-Ordination and assisting team for the various audits.