Head - Compliance - Broking

One of the leading Fintech company in India

Description - One of the leading Fintech company in India

Role:

- Overall responsible for managing Compliance function, AML & Investor Grievance and setting up the team.

- Actively involved in the interpretation and end to end implementation of circulars and regulations issued by the

exchanges & SEBI & AMFI.

- Responsible for ensuring that the Ranking of the company doesn't come in Top 10 on the basis of no of complaints received at the end of Exchanges & Depositories.

- Handle all inspections conducted by Regulators, Exchanges & Depositories on annual basis.

- Handle app/IT system approvals with NSE

- Represents the company in various industry bodies and in front of Regulator & exchanges for giving feedback on the discussion paper issued for the industry view and sending representation to regulators & exchanges if the business is facing any hardship in the implementation of circular or regulation.

- Reviewing business trend of the company and suggest the thresholds for AML alerts, post discussion with Board implement the thresholds. Finally decide on which suspicious transactions identified by the team, STR is required to be filled.

- Currently actively involved in the implementation of the FATCA guidelines including system development and preparing SOP for the collection of FATCA declaration received by new & existing clients.

Ensuring compliance with following Licenses: -

- SEBI Broker Registration

- AMFI Membership for MF distribution

- SEBI Investment Advisor Registration

- SEBI Depository Registration & MF distribution

Key Pre-requisite

- 8 - 11 years experience in core compliance role in an online retail broking arm.

- Exposure to App approval/IT system approval from NSE.

Well versed with compliance requirements of day

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