Compliance Executive

KC Securities Pvt. Ltd

2 - 8 Years
1 Openings
3.0-6.0 Lac/Yr
Vile Parle Mumbai
Face-to-Face interview

Key Skills

Inspections Filing Compliance Surveillance Executive Verification Officer Compliance Executive

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Job Description

Inspections and Investigation

1)Handle queries / investigation undertaken by stock exchanges, SEBI

and initiate action against the queries.

2)Responsible for various periodical submissions to SEBI, Exchanges and

Depositories.

3)Attend audit & inspections queries carried out by various authorities prior and

post inspection work.

4)Ensure proper management of the various compliance related activities so as

to avoid non-compliance and penalties.

Redressal of Investor Complaints

Filing Arbitration and IGRC matters.

CTCL Terminal Mapping

Surveillance: Trading Alerts

AP Inspections and Submissions

KYC Compliance

Experience
2 - 8 Years
No. of Openings
1
Education
Any Bachelor Degree
Role
Compliance Executive
Industry Type
Banking / Financial Services / Stock Broking
Gender
[ Male / Female ]
Job Country
India
Type of Job
Full Time
Work Location Type
Work from Office

About KC Securities Pvt. Ltd

Kantilal Chhaganlal (KC), is a name synonymous with wealth management and is one of the old integrated capital market intermediaries in the financial sector. Over the years, we have stood the test of time, we have helped clients understand and simplify the investment process to achieve their financial goals. Backed by the significant cumulative experience of the top management team, we offer our clientele a bouquet of customized, end to end wealth management solutions. With our pan-India branch and franchisee presence, we ensure our clients get uncompromised performance backed by a focused approach, at all times. A winning combination of in-depth research, professional management and value based approach towards investing, forms the strong foundation of the Kantilal Chhaganlal group of companies, on the basis of which we enjoy the trust of our clients and business associates.