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 &amp; DP Businesses - Assisting implementation of regulatory including Enhanced Supervision and Risk Based Reporting &amp; 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

Mumbai

Deputy Manager - Compliance - Broking Firm 

Deputy Manager - Compliance - Broking Firm  ,Job Description for Deputy Manager - Compliance - Broking Firm  in Liontree HR in  Mumbai for (2-7) years of experience. Apply Now!

Job Description for Deputy Manager - Compliance - Broking Firm  in Liontree HR in  Mumbai for (2-7) years of experience. Apply Now!