2+ Securities Jobs in India

About the Role:

We are seeking motivated and detail-oriented Compliance professionals to join our team in Ahmedabad. The ideal candidate will be responsible for ensuring adherence to regulatory and statutory requirements across corporate and broking operations, including Mutual Funds, Bonds, Insurance, NPS, and related financial products.

Key Responsibilities:

Corporate Compliance:

• Ensure compliance with various regulations governing Mutual Funds, Bonds, Insurance, NPS, and other financial instruments.
• Draft, review, and vet agreements and compliance documents.
• Prepare and submit compliance reports and filings with regulators in a timely manner.

Broking Compliance:

• Disseminate regulatory circulars and notifications issued by SEBI, Exchanges, and other regulators; maintain actionable MIS for implementation and adherence.
• Conduct settlement of client balances (funds/securities) and ensure proper documentation.
• Handle AP (Authorized Person) registration/cancellation processes and ensure compliance.
• Manage NEAT/CTCL terminal requests and maintain related MIS.
• Prepare and submit weekly, monthly, quarterly, half-yearly, and annual regulatory returns to the exchanges.
• Coordinate with Exchanges, Clients, and internal departments on compliance matters.
• Maintain client transaction data and ensure proper record-keeping.
• Prepare and maintain various compliance-related MIS reports.

Candidate Requirements:

• Graduate/Postgraduate in Commerce, Law, Finance, or a related field.
• 2+ years of experience in Compliance (Corporate or Broking domain).
• Sound understanding of SEBI, AMFI, IRDA, and Exchange regulations.
• Strong analytical, documentation, and communication skills.
• Proficient in MS Office and compliance-related reporting tools.

Role/Title: Functional QA

Location: Mumbai/Bangalore 

Fulltime/Permanent role

Notice period should not exceed more than 60days

Job Responsibilities:

Test Analyst:

• Good Communicator, 4 to 7 years, BFSI domain exp.(Investment banking/Capital Market/Wealth Management) is a must.

Skills & tools needed:

• Agile exp. and knowledge, end to end testing, UAT, regression, automation test frameworks.

Testing tools: JIRA, ALM

• Hands-on experience on test planning/test strategy, defect validation, sending status reports