Head - Compliance - BFSI

Roles and Responsibilities :

1. Liaisons with Depositories, Stock Exchange SEBI

2. Handle all legal matters including arbitration matters in various courts and tribunals.

3. Handle of inspection of NSE, BSE, NCDEX, MCX, SEBI, CDSL PMS & NSDL

4. Deal with investors grievance issues

5. Ensure the overall compliances by the company including that by branches/channel partners pertaining to stock broking, PMS and activities of the group

6. Franchisees audit and Compliance

7. Monitor and Supervise Compliance Team

8. Report to management

9. Verify all compliance submissions with regulators

Skills Required :

- 10+ years of experience from broking industry only

- Exposure in Retail compliance

- Handling IGRP And Arbitration matter

- Preparing reports on weekly basis

- Good communication and interpersonal skills