AVP/VP/Head - Compliance - Broking

Role: Head of Compliance

Grade: AVP/VP

Reporting to: Director/ Co founder

Incumbent to possess the following competencies:

- Good Understanding of the Broking Regulations

- Knowledge of capital market rules and regulations

- Understanding of the FPI / FDI regulations

- Knowledge of the PMLA / AML regulations

- Should be a self-starter-, willing to work in a start-up environment

- Excellent articulation and communication skill

- Knowledge of secretarial activities

Key Responsibilities:

- Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance / observation made during inspection.

- Tracking all circulars / regulatory requirement and communicating the same to relevant teams with actionables.

- Handling all regulatory inspections and audits

- Manage and Independently handle all stock broking related routine compliances

- Independently handle Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) filing

- Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy

- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI

- Ensure that compliances related to SEBI, BSE/NSE, MCA are followed

- Handling of ROC compliances

- Conducting quarterly Board Meetings

- Drafting and maintaining of all standard legal documents like Engagement letters, NDAs other agreements

Educational Qualifications: LLB, MBA and Company Secretary is a must

Preferred Work Experience: 8 to 10 years of experience of core compliance in Stock Broking & Exchange.