Head - Compliance - Broking Firm

Compliance- Head

Role : Compliance- Head

Qualification : CS,LLB

Looking for candidates with an experience in Broking firm only.

This Role Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to day back office work wrt 'Depository Participant and Stock Broking'

Job Description:

- Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.

- Manage all operational processes as per regulatory framework to ensure exchange compliance.

- Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.

- Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.

- Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act,SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.

- Assisting in handling Investor Grievances as per regulatory guidelines.

- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.

- Liaising with Exchanges, Depositories for routine matters

- Ensure process-oriented, TAT-driven process as per defined SOP.

- Mentor and monitor team to ensure high level of accuracy and timely execution.

- Handling regulatory audits of SEBI, Exchanges, etc.

- Any other compliance matters as assigned from time to time.