Kharghar Navi Mumbai Maharashtra Equity research analyst Jobs – 106 Open Jobs Today

Compliance Officer
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- MBA
Associate - DI BI
Alvarez and Marsal —Mumbai, Maharashtra
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Associate - DI BI
Alvarez & Marsal —Mumbai, Maharashtra
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Genpact India Pvt. Ltd. —Mumbai, Maharashtra
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Trading Support
Nomura —Mumbai, Maharashtra
- Microsoft Excel
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Third Bridge —Mumbai, Maharashtra
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Business Management
Nomura —Mumbai, Maharashtra
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Senior Analyst - EMEA TMT Privates
Guidepoint —Mumbai, Maharashtra
- English
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KRIDHA ADVISORS LLP —Mumbai, Maharashtra
- ₹25,000 - ₹45,000 a month
- Email
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5d
Control Office
Nomura —Mumbai, Maharashtra
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Derivatives Trader/Dealer
Macquarie Group Limited —Mumbai, Maharashtra
- Full-time
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Sr Software Engineer
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Associate, Co-Invest
Ares Management —Mumbai, Maharashtra
- Full-time
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Nomura —Mumbai, Maharashtra
- Weekend availability
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Lead - Software Engineer - QUANTS
NASDAQ —Mumbai, Maharashtra
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Azure Cloud Architect
Pristine Infotech —Mumbai, Maharashtra
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Sales Trader - Derivatives
Equirus —Mumbai, Maharashtra
- Full-time
- Finance
- Master's degree
- Communication skills
eTrading Engineer
AMINA Group —Mumbai, Maharashtra
- English
- Java
- Master's degree
Quick apply

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Compliance Officer

Equirus
Mumbai, Maharashtra

Apply Now

Job details

Full-time

Qualifications

Master's degree
Bachelor's degree
MBA

Full job description

Job Description:

About Equirus

About Equirus Wealth

Equirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

For more details you can visit us at www.equirus.com

Equirus Wealth is a holistic Wealth Management platform founded in 2018 by a passionate group of seasoned professionals. It was formed with the objective of providing Client Centric, Comprehensive, and Transparent Wealth Management services for Individuals, Families, and Corporates. We specialize in Wealth Management, Mutual Funds, Primary and Secondary Debt, Real Estate, Market Linked Debentures, Alternate Investment Funds, Tax Advisory, Estate Planning, Offshore Products, Unlisted Securities, Portfolio Management Services, Investment Advisory.

For more details you can visit us at https://www.equiruswealth.com/

Position / Role Title

Compliance Officer

This role reports to the Head of Compliance

Job description

Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.
Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.
Liaising with exchange, depositories & Auditors for all matters.
Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.
Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.
Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.
Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.
Drafting, Vetting & executing various commercial/ business contracts and agreements
Handling investor grievance.
Interacting with the Board of Directors as needed.
Any other compliance matters assigned from time to time.
Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects

Location(s)

Mumbai

Requirement Specification

(Qualifications)

Graduate & Above or MBA/CS (preferred)
Must have Broking / DP Compliance experience.
Minimum 4-5 years of work experience with Stock Broking & DP entity.
NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.

About the Job:

Salary:

Negotiable

Company:

Equirus

Role :

Compliance Officer

Category:

Wealth Distribution

Location:

Mumbai, Maharashtra, India, India, Asia

Employment Type:

Full time

Apply Now

Refine Your Search

equity research analyst jobs in kharghar navi mumbai maharashtra

Compliance Officer

Associate - DI BI

Technical Product Manager

Associate - DI BI

Lead Analyst - BI, Reporting and Data Visualization 4C

Trading Support

Senior Analyst, AI Implementation

Business Management

Senior Analyst - EMEA TMT Privates

Company Secretary

Control Office

Derivatives Trader/Dealer

Sr Software Engineer

Principal Developer

Associate, Co-Invest

Principal Production Services

Lead - Software Engineer - QUANTS

Azure Cloud Architect

Sales Trader - Derivatives

eTrading Engineer

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