Should be responsible for monitoring compliance of the securities broker with the applicable regulatory regime and for onward reporting to the Board of Directors. The Candidate should be well versed of all rules and regulations related to brokerage industry, stock exchange & other regulators.
Minimum qualification and experience: The candidate should be a member of a recognized body of professional accountants, a Certified Internal Auditor, a Certified Fraud Examiner, or a Certified Internal Control Auditor. The candidate must have at least three years of experience in audit, finance or compliance function.
Our purpose is to provide a full range of capital market related products and services to individual and institutional clients. We aim to achieve this goal by setting industry standards for integrity, personalized service, efficiency and innovation.