Senior Consultant at Liontree HR
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Deputy Manager - Compliance - Broking Firm (2-7 yrs)
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