Regulatory Compliance:
- Ensure the firm complies with the regulatory requirements set by SEBI, NSE, BSE, RBI, and other applicable bodies.
- Prepare and submit mandatory reports and filings to SEBI, NSE, BSE, and other authorities & exchanges within specified deadlines.
- Monitor and stay up to date with changes in regulations and industry standards.
Policy Development & Implementation:
- Develop, implement, and periodically review internal policies, procedures, and controls to align with current regulatory standards and best practices in the financial markets.
Risk Management:
- Identify compliance risks and develop strategies to mitigate these risks through proper controls, training, and monitoring.
- Handling investors grievance cases directly received from exchange(s) & preparing drafts reply and submitting the same to exchanges.
Audit & Reporting:
- Coordinate and manage internal and external audits related to compliance. Prepare and submit compliance reports to the board and regulatory authorities as required.
- Training & Awareness: Conduct regular training sessions for staff to raise awareness on compliance obligations, ethics, anti-money laundering (AML) policies, and other relevant compliance matters.
- Investigation & Enforcement: Investigate potential breaches of compliance, fraud, or misconduct. Initiate corrective actions and ensure timely resolution of compliance issues.
- Compliance Monitoring: Oversee the monitoring of transactions, trading activities, and the implementation of controls to detect and prevent non-compliance or unethical conduct.
- Advisory Role: Provide strategic advice to senior management on compliance-related matters, including regulatory changes, risk assessments, and potential impacts on the firm's operations.
Skills and Qualifications:
Experience:
- Minimum 3-5 years of experience in the compliance function, preferably in a stock broking firm.
- Strong knowledge of Indian financial markets, stock broking regulations, and SEBI guidelines.
- Experience with handling regulatory inspections, audits, and investigations.
- Proven track record of developing compliance frameworks and implementing effective controls.
Key Skills:
- In-depth knowledge of SEBI regulations, stock broking guidelines, KYC, and AML norms.
- Strong analytical, problem-solving, and decision-making abilities.
- Excellent communication skills (verbal and written) to interact with regulatory bodies, senior management, and clients.
- Attention to detail and the ability to manage multiple tasks effectively.
- Strong interpersonal skills with the ability to work collaboratively across different departments.
Didn’t find the job appropriate? Report this Job
