Senior Manager/AVP - Compliance - Broking Firm

JOB DESCRIPTION

- Having through knowledge of Equity Broking Compliance Regulations and applicable guidelines

- Having through knowledge of Commodity Broking Compliance Regulations and applicable guidelines

- Having through knowledge of Depository and Comtrack Compliance Regulations and applicable guidelines

- Having Sound knowledge of NBFC Compliance

- Knowledge of Investment Advisory Compliance

- Knowledge of Research division compliance

- Anti money laundering related regulations and guidelines

- Surveillance / Alert understand of the trading activity

- Policy and Processes framing pertaining to above-mentioned compliances implementation

- PAN India level Branches and Service centre compliances

- Ensuring Compliances for Sub Broker and Authorised Persons at PAN India Level

- Handling of Regulatory Inspections

- Implementation of Regulatory guidelines and Circulars for the respective business

- Having Broking entity experience of more than 5 years