Director at Pinnacle Search Services
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AVP/Senior Manager - Regulatory Compliance - Stock Broking (10-15 yrs)
We are looking for Sr Manager & AVP Compliance (2 Positions) for a Leading Stock Broking Company. The person/s will be part of the compliance team & report into the Head of Compliance
CA/CS/LLB/MBA with minimum 10-15 years of experience with min 8 years of experience in Regulatory Compliance with a SEBI Registered Broker
- Active involvement in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI.
- Handle inspections conducted by Regulators, Exchanges & Depositories on annual basis.
- Reviewing business trend of the company and suggest the thresholds for AML alerts, post discussion with Board implement the thresholds. Finally decide on which suspicious transactions identified by the team, STR is required to be filled.
- Keep Abreast of Changes in Regulations & ensure their compliances by the organization
- Partner with Stake Holder in resolving inspection/audit queries within predefined time frames
- Audit/Inspect various functions or work with internal audit team on a periodic basis within the organization on Regulatory requirements & raise the non conformances to the Department Heads for closure
- Work with Technology Team to Automate Regulatory needs from a compliance perspective
Ensuring compliance with following Licenses:-
- SEBI Broker Registration
- SEBI PMS Registration
- SEBI Research Analyst Registration
- SEBI Investment Advisor Registration
- SEBI Depository Registration & MF distribution & Insurance distribution License.