Assistant Compliance Manager - Stock Broking

Role & Responsibility :

- Develop & implement an effective compliance framework for broking operations

- Monitor the compliance of the rules, regulations, notifications, guidelines, instructions issued by regulators and exchanges

- Supervising daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, risk monitoring, other day to day back office work w.r.t Stock Broking

- Develop & implement system & processes to resolve clients' grievances and complaints

- Build and mentor the operations team to ensure efficient implementation of processes

- Set plans to manage a crisis or compliance violation

- Create sound internal controls and monitor adherence to them

Technical Skills :

Must Haves :

- Detailed understanding of the SEBI compliances, rules and regulations

- Detailed understanding of exchange compliances, bylaws, regulations

- Maintain Code of Conduct at all times

- Ensure compliance with existing and new regulations at all times

- Timely review of exchange notifications & guidelines

- Minimum 3 years of experience in Capital markets

- Minimum 3-5 years of experience in Compliance

- SEBI regulations

- CA, CS, MBA

- 3-7 years of total experience

- NISM IIIA Certification

- Career Roadmap

- Atleast 3-5 years of experience in Compliance

- Spent atleast 2 years at an Online Broking Firm