Hi ,
Prospera Finstocks P.Ltd is a reputed organisation specializing in financial services providing innovative solutions to meet clients unique needs.Based in Gurugram, the company is dedicated to delivering excellence through a blend of professional intergrity and industry expertise.
A Compliance Officer in a stock broking firm acts as the primary guardian of regulatory integrity. They ensure the firm adheres to strict external laws, such as those governed by SEBI and Stock Exchanges, while enforcing internal policies, risk management programs, and investor protection guidelines. [1, 2, 3]
Roles and responsibilities of a Compliance Officer in a stock broking firm include:
* Regulatory Compliance & Client Compliance
* Investor Grievance Redressal
* Audits, Inspections and Risk Management
* Policy and Procedure Managment
*Monitoring and Surveillance
* Regulatory Liasion
Mandatory :- Candidates who are having more than 4 years of experience in a stock broking firm as a Compliance officer need to apply only. Must familiar of SEBI, BSE, NSE, MCX,NCDEX NORMS.
CANDIDATES WHO ALREADY APPLIED NEED NOT APPLY AGAIN.
Education :- Any Bachelor's degree. preferably in finance.
Job Type- Full Time
Job Location:- Gurgaon.Work Location: In person
Pay: ₹40,000.00 - ₹80,000.00 per month
Work Location: In person
