Compliance Officer

Shanta Securities Limited

Shanta Securities Limited

 

Shanta Securities Limited

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Summary

  • Vacancy: —
  • Location: Dhaka (GULSHAN 1)
  • Salary: Negotiable
  • Experience: At least 3 years
  • Published: 17 Oct 2024

 

Requirements

Education

  • Masters, Bachelor/Honors

Experience

  • At least 3 years
  • The applicants should have experience in the following business area(s):
    Share Brokerage/ Securities House

Responsibilities & Context

  • Manage regulatory correspondence and reporting to ensure compliance.
  • Oversee in-house compliance and reporting activities.
  • Ensure full adherence to the established rules and regulations of BSEC, DSE, CSE, BB, and other regulatory authorities.
  • Distribute regulatory updates and changes to Management and Colleagues.
  • Inspect investors’ books and records (Account opening forms, KYC, and related documents) to ensure proper documentation and authentication, including Authorized Representative and TWS processing.
  • Monitor and facilitate the opening and closing processes of Branch Offices, Digital Booths, and Extension Offices.
  • Rack margin loan operations and prepare necessary documents, such as the Equity-to-Debt ratio report, Weighted ratio, and Margin trade report.

Compensation & Other Benefits

  • Mobile bill, Performance bonus, Provident fund, Weekly 2 holidays, Gratuity
  • Salary Review: Yearly
  • Festival Bonus: 2

We offer a competitive salary and benefits package commensurate with experience.

Workplace

Work at office

Employment Status

Full Time

Job Location

Dhaka (GULSHAN 1)

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