Assistant Vice President/Vice President - Compliance

Job Description:

Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials/inspection teams during audits and inspections. Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence. Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters. Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units.

7 - 10 yrs experience.

Educational Qualifications: Mid level.

Total number of employees supervised: 2.

RESPONSIBILITIES & TASKS:

- Managing end-to-end compliances related to merchant banking, broking and other businesses, ensuring adherence to all applicable regulatory requirements.

- Managing compliance activities associated with SEBI Prohibition of Insider Trading Regulations, including regulatory filings and internal control mechanisms.

- Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.

- Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.

- Dealing with internal auditors, system auditors, SEBI officials and other regulatory/governmental authorities.

CORE SKILLS & EXPERIENCE REQUIREMENTS:

- Good Analytical abilities.

- Knowledge of SEBI/Stock Exchanges regulations.

- Inter personal skills, good & clear communication.

- Logical & well defined thought process.

- Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions.

- Addressing compliance obligations pertaining to the Firm's foreign subsidiaries, ensuring global regulatory alignment and governance.