Finvasia - Head - Compliance - Capital Market

Job Description: Head of Compliance (Stock Broking).

Position: Vice President.

Experience: 15+ years in Compliance (Stock Broking).

Location: Mumbai or Mohali (Punjab).

Role Overview:

- The Vice President of Compliance will lead the compliance function at Shoonya by Finvasia, a prominent stockbroker, ensuring the organization's operations in both the stock broking and commodities sectors fully comply with all applicable regulatory frameworks and industry standards.

- This role requires a strategic leader with extensive expertise in regulatory processes, audits, risk management, and compliance reporting, driving the company's commitment to operational integrity and industry best practices.

Roles and Responsibilities:

-Lead and manage the compliance team, ensuring all activities align with the organizations strategic goals and regulatory obligations.

- Develop and implement compliance policies and procedures to ensure adherence to regulatory requirements.

-Oversee regulatory inspections and audits, ensuring the organizations preparedness for inspections by exchanges, regulatory bodies, and internal audits.

- Ensure accurate and timely responses to regulatory authorities and other stakeholders.

- Stay updated with regulatory changes and circulars from SEBI, RBI, NSE, BSE, MCX, and CDSL.

- Facilitate the implementation of these regulations within the organization and ensure internal teams are compliant.

- Cultivate and manage strong relationships with internal and external stakeholders, ensuring smooth communication and collaboration on compliance matters.

-Oversee client onboarding processes, ensuring compliance with trading member regulations and exchange requirements.

- Ensure compliance with trading terminal regulations and timely adherence to compliance deadlines.

- KYC/AML/PMLA Oversight

- Monitor and enforce adherence to KYC, AML, and PMLA guidelines in collaboration with operations and client onboarding teams.