Details of the Organization

Gretex Share Broking Private Limited was incorporated on 29 April 2010. Since its inception, they have strived to Create maximum liquidity in the market as well as Facilitate buy and sell of securities, in place of investors, for several companies who choose to get listed on the Stock Exchanges, fulfilling our role as a Market Maker and as a Stock Broker, thereby providing quality services to our portfolio of companies.

Details of the Job/Internship

Gretex Share Broking Limited is hiring a compliance officer to join them in Mumbai office. 

Role and Responsibilities

• Ensuring compliance to the Regulations, Rules, Byelaws and various circulars issued by the Regulators SEBI & Exchanges NSE, BSE.
• Handling SEBI & Exchange Inspections and finalization of the reports.
• Formulating policies and procedures in lines with the requirements of the Regulators / Exchanges and ensured timely 
• Reviewing the existing compliance processes and policies in consultation with the Internal Auditors and implemented the suggestions of the Internal Auditors
• Keep up-to-date with changes in laws and regulations affecting the stock broking industry and implement necessary updates to company policies and procedures.
• Conduct regular compliance audits and reviews to ensure adherence to internal controls and regulatory requirements.
• Review and analyze trading activities, financial transactions, and business practices to detect and prevent potential violations.
• Provide compliance training and guidance to employees at all levels of the organization.
• Investigate and resolve compliance breaches, misconduct, or violations.
• Coordinate with legal and regulatory bodies during investigations and enforcement actions.
• Advise senior management and business units on compliance-related matters and regulatory changes.

Eligibility

• NISM-Series-VIII: Equity Derivatives Certification Examination - NISM- Series-VII-Securities Risk Operation Examination - NISM- Series IIIA- Compliance Non-Fund.
• Bachelor’s degree in Finance, Business Administration, Law, or a related field.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Maharashtra

City

Mumbai

Address

Mumbai, India

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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For any questions or concerns, please contact us via email at: [email protected]