Assistant General Manager - Risk & Compliance

Quotient Consultancy
  • Mumbai
  • 15-18 lakh
  • 10-20 years
  • Views
  • 14 Jul 2017

  • Investments

  • Financial Services/ Capital Markets
Job Description

1. Minimum 10 years experience in Stock Broking
2. Independently handled Risk department of a large/medium sized broking house. Experience in setting up and updating Risk systems and processes
3. Independently handled Compliance department of a large/medium sized broking house. Handled SEBI, NSE, BSE, CDSL, NSDL & other regulatory inspections and audits
4. Have experience in
Stock Broking Settlement Operations
Depository Participant operations
Handling SEBI, NSE & BSE investor complaints, arbitration and legal matters.
UAT and production testing & IT vendor management
Setting up Anti Money Laundering systems and processes
Client trade monitoring & Surveillance
Fraud prevention and monitoring
Audit of branches
Legal matters

Competencies/Skill sets for this job

Stock Broking Legal Risk Systems Audits Vendor Management

Job Posted By

Amogha .

About Organisation

Quotient Consultancy