Head - Broking Compliance - Retail Broking Division

We have a job opportunity with one of the top Stock Broking House in Mumbai located in Andheri.

Position : Head Of Compliance

Level : VP/ AVP

Department : Retail Broking Division

Location : Andheri, Mumbai

Responsibilities :

1) Handle all Compliance for Retail broking & ensure that there is no regulatory non compliance observation made during inspection.

2) Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionables.

3) Handling all regulatory inspections and audits

4) Manage and Independently handle all stock broking related routine compliances

5) Independently handle Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standards (CRS) filing

6) Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy

7) Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the exchanges & SEBI

8) Ensure that compliances related to SEBI, BSE/NSE, MCA are followed

9) Handling of ROC compliances

10) Conducting quarterly Board

11) Enhance supervision working and reporting on weekly basis

12) Handling IGRP And Arbitration matter