Ambit Holdings - Manager/Senior Manager - Compliance

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