Legal Job opening : Institutional broking compliance at RiverForest Connections LLC.

About Company

Founded in 1992 as Skill Search International focusing on recruiting, Training Resources Group (TRG) in 1993 for learning programs & HR Folks International for Staffing & Consulting, our company has been at the thought, development & execution stage concurrently for many years. Univ Canada, 2003 focuses on E-learning & educational content including certifications. RiverForest Connections, Consulting, Corporate Training, Executive Search and Learning System, a suite of value-added solutions customized to specific needs of the learner.

Role: Broking Compliance
Incumbent to possess the following competencies:
1. Knowledge of Indian capital market and various instruments
2. Should be a “self-starter”, willing to work in a start-up environment
3. Excellent articulation and communication skills
4. Ability to work with multiple stakeholders
5. Energetic, self-motivated & Passionate

Key Responsibilities: Broking Compliance
1. Good Understanding of the capital market rules and regulations, circulars etc.
2. Assisting the Head –Compliance and Legal in the Capital Market compliance and Advisory
mandates.
3. Handle all Compliance for Institutional broking (FPI).
4. Managing Inspection and Internal audit related to compliance.
5. Assisting to internal auditors for conducting internal audits of all exchanges on a regular and
on a periodical basis.
6. Preparation, submission, and uploading Annual return & Annual Compliance to the
exchanges.
7. Implementation of exchange and SEBI KYC requirements, modification in the formats.
8. Handle Queries related to Trading and Account opening
9. Manage surveillance & Investigations related to exchanges

Educational Qualifications: Graduate or LLB

To apply for this Job : Click Here

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