Head - Compliance & Legal - Stock Broking

Position: Head - Compliance & Legal (Stock Broking)

Location: Navi Mumbai

Experience: 12 - 15 years

Qualification: CS, LLB

Salary: Rs. 18 LPA - Rs. 22 LPA

Job Responsibilities:

- Regulatory compliance & audit in stock broking, assist in Concurrent, Internal Audits & Inspection by SEBI/CDSL/BSE etc.

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

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

- Handle Investor Grievances as per regulatory guidelines.

Desired Profile:

- Liaising with Exchanges, Depositories for routine matters

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

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

- Handle regulatory audits of SEBI, Exchanges, etc.

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

About the Client:

Our client is working passionately to create an ecosystem for smart investors and traders to envisage, build and execute their Mantra. They are an innovative FinTech platform, originating from one of India's most significant and long-standing Brokerage houses with PAN India presence.