Sr executive ,Officer -Compliance or Stock @ People Alliance

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Sr executive ,Officer -Compliance or Stock

People Alliance
2 to 7 Yrs
Mumbai
3 years ago
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Job Description

1. Drafting of important notices & resolutions. 2. Submission of Annual Return (AR).
Conducting CPE (Training Program) and Examination of all (Employees, Sub-brokers and Authorised Person).
3. Documentation for empanelment with various financial institutions. 4. Registering authorized person.
5. Cancellation of sub-brokers. Submission of Annual Return (AR)
6. Annual Compliance Report (ACR)
7. Disclosure of share holding pattern - 1% holding of listed shares-Quarterly.
8. Half yearly Networth Certificate.
9. Internal Audit Report. (Half Yearly)

Employement Category:

Employement Type: Full time
Industry: Manufacturing
Role Category: Management Consulting / Strategy
Functional Area: Not Applicable
Role/Responsibilies: Sr executive ,Officer -Compliance or Stock

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Company: People Alliance
Location(s): Mumbai

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Keyskills: stock broking compliance management compliance stock exchange ar acr stock market compliance executive compliance officer

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Desired Industry (*):

Functional area / Department (*):

Enter Skills (key skills, subjects, technologies & roles to use in search)

Write briefly about yourself, your experience and education (*)

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People Alliance

People Alliance Workforce Private Limited An ISO 9001:2008, QMS Certified ,TQM based And India's largest multi interest consulting and business services corporation engaging a variety of organizations, institutions and enterprises in diverse indust

Sr executive ,Officer -Compliance or Stock @ People Alliance

Home > Management Consulting / Strategy