Dindayal Biyani

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Compliance Manager

Job Responsibilities:

  • Compliance Expertise:
    • Must have expertise in NSE/BSE/MCX/NCDEX compliance related to stock broking.
    • Capable of independently managing compliance for a ‘Proprietary trading firm’.
  • Communication Skills:
    • Must be skilled in communicating with stock broking firms.
  • Portal Usage:
    • Knowledgeable in using ‘Member Portal’ platforms like NSE ENIT, IMS, NMASS.
  • Compliance Process Knowledge:
    • Must have knowledge of the compliance process for a stock broking company.
    • Must have experience with basic compliances like internal audit, VAPT audit, System Audit, etc.
  • Technical Skills:
    • Basic knowledge of MS Excel is required for this position.

Requirements:

  • Communication:
    • Strong communication skills are essential.
  • Educational Qualification:
    • Requires a bachelor’s degree from a reputable university.
  • Experience:
    • Minimum of 1-3 years of relevant experience in a ‘Stock Broking Company’.
Job Type: Full Time
Job Location: Mumbai

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Attention Investors:

– Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
– Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
– Pay 20% upfront margin of the transaction value to trade in cash market segment.
– Investors may please refer to the Exchange’s Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.
– Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.
– ………. Issued in the interest of Investors
– “No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor’s account.”
– Prevent unauthorized transactions in your demat / trading account. Update your mobile numbers/email IDs with your Stock Brokers/ Depository Participant. Receive information of your transactions directly from Exchange and Depository on your mobile/email at the end of the day.
– YC is one time exercise while dealing in securities markets – once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.
We are also engaged in proprietary trading.

Filing complaints on SCORES – Easy & quick

– Register on SCORES portal
– Mandatory details for filing complaints on SCORES:
1.Name, PAN, Address, Mobile Number, Email ID
– Benefits
1.Effective communication
2.Speedy redressal of the grievances

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