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Ambit Holdings - Manager/Senior Manager - Compliance (5-8 yrs)
JD for the Compliance Role :
Designation : Manager / Sr Manager
Mandatory Criteria :
- Broking Experience is Mandatory
- Candidate should necessarily have - Broking Compliance Experience.
Experience : 5 to 8 years
Role & Responsibilities :
- Partner with Business (principally the equities business i.e. Institutional Equities and Private Wealth) to deliver solutions that stand test of regulations yet be business friendly
- Team up with consultants and lawyers to maintain licenses, audits and set up processes that suit the law of the land
- Handle stock broking, Investment Advisory and private wealth regulatory compliances including queries/inspections/audits/business queries
- Assist the HOC in policy making and providing Teach In sessions to business
- Compliance testing of areas that pose high regulatory risks to Ambit, be it dealing room checks, Insider checks, investment recommendations back up checks, etc.
- Drafting/vetting of various agreements, side letters, NDAs, engagement letters, NDAs, agreements involved in Equity Capital Markets transaction
- NBFC documentation and processes
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