Assistant Vice President - Compliance - Broking Business - LLB & CS

Role Overview:

- The AVP - Compliance role is responsible for ensuring the firm's adherence to regulatory requirements and internal policies within the institutional business. This role involves conducting compliance reviews, providing guidance on regulatory matters, and collaborating with various teams, including research analysis, trading, and sales, to mitigate compliance risks.

- The AVP - Compliance plays a critical role in safeguarding the firm's reputation and ensuring the integrity of its operations.

Key Responsibilities:

- Hands on experience of Research Regulation

- Prior experience of SEBI/SEs' inspection

- Independently handle SEBI/SE queries relating Research and Broking business (transaction related)

- Updating business team on regulatory circulars and implementing the same

- Monitoring NISM certification for Research Team

- Coordinating with Regulators on periodic submissions and reporting

- Monitoring Insider Trading compliances

- Handling Investor grievances

- Review of Agreements.

Required Skillset:

- Demonstrated ability to interpret and apply complex financial regulations.

- Proven ability to conduct thorough compliance reviews and investigations.

- Excellent communication and interpersonal skills to effectively interact with stakeholders at all levels.

- Strong analytical and problem-solving skills to identify and address compliance risks.

- Ability to work independently and manage multiple priorities in a fast-paced environment.

- Experience in compliance within an institutional financial services setting.

- Deep understanding of research analyst compliance requirements.

- LLB & CS.

- 7-14 years of relevant experience in compliance.