Job Description and Responsibilities:

Ideal candidate with minimum 7 years of regulatory compliance experience in Indian capital markets, working for a stock exchange, a regulatory organization, a stock broker or similar financial service organization. Potential candidate for this role should have hands on experience of independently handling all compliance functions of a stock broking firm which include but not limited to following.

- Over 7 Years of experience working in compliance department of a large/medium sized broking house.

- Continuous tracking of regulatory updates from stock exchanges and SEBI.

- Responsible for interacting with various departments within the organization to meet deadlines.

- Must be comfortable working in an automated, hands-on environment.

- Ensuring compliance of regulatory norms of SEBI, Exchanges and Depositories

- Reviewing and verifying transactions / trades for preventing money laundering.

- Implementing systems/ procedures for timely adherence and streamlining the working procedures for enhancing Compliance.

- Update and review KYC and account approval guidelines for the company.

- Handling of regulatory inspections, investigations, inquiries, internal audit, legal, customer grievance, and preparation of firm's response for these regulatory issues.

- Conduct / assist in periodic audits of the firm's practices to ensure that the organization's activities satisfy all pertinent legal and regulatory requirements.

- Compliance with Prevention of Anti Money Laundering norms

- Ensure daily/monthly/quarterly submissions in accordance with regulatory guidelines and processes

- Understanding and implementation of changes w.r.t regulatory developments.

Qualifications:

- A Graduate/ Post graduate degree. (Law preferred)

- Good oral and written communications skills in English.

- Good problem-solving skills

- High proficiency with desktop applications and MS Office suite of products.

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