AVP - Compliance - BFSI

Company: Financial Services Company

Position: AVP - Compliance

Location: Mumbai

Responsibilities:

- Manage Compliance aspects of Investment Banking & Broking

- Ensure all regulatory submissions / filing are done in time and record is maintained

- All relevant policies are regularly updated and ensure compliance thereof

- Ensure new circulars released by regulators are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)

- Responsible for Managing Initial Public issues / Buy backs / Valuations / Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers, legal, exchanges etc)

- Ensure that all Merchant banking & Broking transactions are executed as per regulatory guidelines and within timelines

- Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations

- Assist in various compliance matters / opinions in day to day activities, Review of various documents

- Looking for candidates with experience in compliance with a broking or a financial services company.