Job/Soft skill training

Evoke HR Solutions Reviews by Employees

Talent Acquisition Executive

Talent Acquisition Specialist

Senior Talent Acquisition Executive

Role : Chief Manager - Compliance. EXP : 13+Years. Location Mumbai. 1) Regulatory Compliance: - Handling New Member onboarding process, undertaking due diligence process and grant of approvals. - Effectively monitor various compliance requirements of Members and oversee the regulatory filings by Members. Undertake periodic review of various compliance & operational policies and initiate changes in consultation with relevant stakeholders. - Co-ordination with SEBI and other MIIs for various policy level initiatives and reviews as well as handling any queries / data requirements etc. - Issue/ Query resolution on priority basis and avoiding similar future occurrences. - Handling applications of change in control/ business transfer/merger BMC category change & facilitate all necessary steps for the closure. - To monitor the continued compliance requirements of Members. - Continuous interaction with Regional Offices w.r.t Compliance procedures and providing necessary clarifications & guidance. 2) System development (Internal and with SEBI): - Ensure continuous improvement in compliances procedures and processed through adequate system development System development co-ordination and implementation for new requirements -. - Participation in annual technology requirements planning & engage with the IT team for prioritization of the projects across HO & ROs. - Finalize Business Requirement Specifications for various technology projects. - Ensure user acceptance testing and successful implementation. - Suggest new system development initiatives related to Customer benefit, process efficiency across functions, enhanced compliance, cost/time saving, etc. - Co-ordination with SEBI / Other Exchanges/ DPs/ CCs for development of new regulatory interface for various process including system validations. - Effective engagement with Tech teams and SEBI for Parivartan and UII initiatives and oversee implementation. 3) Authorize Person related activities: - Process application pertaining to registration, cancellation, change in address, change in status and change in constitution of Authorised persons. - Putting in mechanisms/framework for strengthening Authorised Person (AP) monitoring and supervision including identification of APs with material concerns and taking actions in collaboration with ISC/Inspection. - Updation of membership database w.r.t AP information. 4) Monitoring of Mandatory submissions. - Monitoring of Annual return submissions by Members. - Computation of Securities Transaction Price Index data & submission to SEBI on quarterly basis. - Monitor Half yearly/annual Networth submissions of the Members and initiate action in case of non-compliance,. - Oversee daily submission of Margin trading facility (MTF) and Sign-off. - Monitoring of quarterly Artificial Intelligence/Machine Learning (AI/ML) submissions and reporting to SEBI. 5) Other compliance activities: - Monitor and implement Orders passed against the members by SEBI / SAT etc. - Provide support to ROs for scrutinizing Advertisements to be issued by the members to ensure compliance with all regulatory norms. - Issue Status Report and Membership Certificate based on Member request. - Process Members request for trade through other members. - Updation of membership database for change in status, details of transfer of membership and shareholding/director details. - Handling Member expulsion activities including initiating requests to various departments, Market communication and intimation to SEBI and other MIIs. - Monitoring Access control for various database. - Provide data for internal audit, SEBI audits, statutory audit etc.

Mumbai

Chief Manager - Compliance 

Job Description for Chief Manager - Compliance  in Evoke HR Solutions in  Mumbai for (13-15) years of experience. Apply Now!