Broking Compliance Role - Financial Services Firm

Opening - Broking Compliance

Location - Mumbai

Company - One of the leading financial services firm

Key Responsibilities:

- Establishment and maintenance of processes and controls within the business groups so that business activities are in the compliance with applicable laws and any breaches of such laws, rules, regulations and internal policies are detected

- Provide a proactive and expert compliance advisory service

- Promptly alert senior management to significant compliance issues

- Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof.

- Compliance clearance for new product / new business line / new licenses / new funds / schemes including handling issues related to actual or potential conflict of interest

- Clearance of responses to regulatory observations/investigations, etc.

Competencies :

- Good knowledge and experience on regulations governing SEBI/Exchange compliances in relation to Broking, Depository Participant, Investment Adviser, Research Analyst, Distribution activities, Portfolio Management, Non-banking financial company, etc.

- Promote & manage the culture and practice of Compliance within regulatory requirements and as laid down by Edelweiss policies

- Drafting Skills, Preparation, and monitoring of MIS reports, Meeting the cross functional teams/regulator/peer groups Behavioral