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19/07 Arpita
Senior Consultant at Liontree HR

Views:181 Applications:45 Rec. Actions:Recruiter Actions:38

Deputy Manager - Compliance - Broking Firm (2-7 yrs)

Mumbai Job Code: 952522

We are looking for Deputy Manager Compliance for a leading Broking Firm at Mumbai

- Assisting the Compliance Officer for the Brokerage Business (Retail and Institutional) and Depository Participant (DP) business. Retail Broking and DP Compliance expertise is a must.

- Assistance in setting up retail and online broking business, putting in place systems, processes and controls etc.

- Assistance in handling Research Compliance

- Assisting in drafting various standard formats - POAs, Letters, Agreements, Client Documentation etc. as necessary for the Broking & DP Businesses

- Assisting implementation of regulatory including Enhanced Supervision and Risk Based Reporting & corporate compliance with SEBI, Stock Exchanges, Depositories and other Regulatory Authorities including submission of regulatory filings in a timely manner.

- Managing various applications to the Stock Exchanges, Depositories, SEBI and other regulatory authorities for change in directors, licenses, permissions, shareholding pattern, etc.

- Ensuring that any new Business proposal meets regulatory requirements and obtaining necessary regulatory approvals, setting up Systems, Processes and Controls for the same

- Advice the Business on Compliance issues and Regulatory risks pertaining to Broking/DP Businesses and overall capital market businesses

- Coordinating for various audits/inspections conducted by SEBI, Stock Exchanges, Depositories, Internal Auditors, External Auditors, Concurrent Auditors, etc.

- Ensuring that the Company has appropriate Compliance framework to ensure compliance with all applicable laws, rules, regulations and internal and Group policies

- Conducting regular Transaction monitoring and surveillance, AML Compliance, identifying suspicious activities/transactions, performing client due diligence, etc. in accordance with Internal Policies and Exchange requirements and putting summary / MIS of Alerts before board.

- Setting up Client On-boarding policies and procedures, coordinating with internal teams for its implementation and resolving queries

Salary offered: 7-10LPA

Women-friendly workplace:

Maternity and Paternity Benefits

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