Assistant Vice President - Institutional Compliance - Stock Broking Firm - CS/LLB

Description:

Hiring for AVP Institutional Compliance for a leading Broking Firm

Designation: AVP Institutional Compliance

Experience: 5 to 8 years in Compliance Department in broking firm

Education: CS or LLB

Location: Mumbai

Job Role:

- Hands-on experience in Research Regulations compliance under SEBI framework.

- Prior exposure to SEBI and Stock Exchanges (SEs) inspections, including preparation, documentation, and response handling.

- Independently managing SEBI/SE queries related to Research and Broking business, particularly transaction-related matters.

- Tracking and analyzing regulatory circulars, updating business teams, and ensuring timely implementation of regulatory changes.

- Monitoring and ensuring validity of NISM certifications for the Research Team.

- Coordinating with regulators for periodic submissions, reporting, and compliance filings.

- Overseeing Insider Trading compliance in line with SEBI (PIT) Regulations.

- Handling and resolving Investor Grievances within prescribed timelines.

- Reviewing and vetting Agreements from a regulatory and compliance perspective.