Head - Compliance Broking - Retail Domain

Responsibilities:

Manage day to day Broking compliance for Retail Broking business which includes the following:

- Training to new joiners on Broking regulations

- Handling NSE/ BSE inspections and queries

- Dissemination of Circulars and their implementation

- Handle internal and external auditors.

- Manage all disclosures and compliances related to Insider Trading

- Expected to have hands-on knowledge and ability to handle regulatory compliances.

- Self-contributor & should be able to handle exchange queries & keep the stakeholders informed.

- Candidate should be aware of settlement processes and operational reporting.

Relevant Skills, Knowledge, and Experience:

- Strong understanding of the industry & strategy to tap potential clients.

- Expert knowledge on Information memorandum, financial modeling, and valuation principles

- Ability to spot emerging trends and accordingly work with cross-functional teams.

- Eye for detail with ability to simultaneously manage multiple transactions.

- Entrepreneurial attitude, ability to lead the team, build team morale & engagement.

Experience: 12+ years of experience with key focus on BFSI sector transactions in Investment Banking/ Broking. Should have a strong track record of successful deal closures and pipeline in the required sector.

Qualification: CA or a CS with at least 8+ years' experience in an institutional/retail broking house.