Senior Search Consultant at Synapse Search Partners
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Manager - Compliance - BFSI (4-10 yrs)
We are looking for someone who has worked as a compliance officer in an online broking firm for at least 3 years, and has an in-depth understanding of SEBI and Exchange compliances, rules & regulations.
Top 3 Goals that you will be working on:
- Develop and implement an effective compliance framework for MP broking operations
- Monitor & supervise day-to-day compliances of the rules, regulations, notifications, guidelines, instructions issued by regulators and exchanges
- Develop & implement system & processes to resolve clients- grievances and complaints.
That's it. If this sounds like your kind of challenge and team, we are eager to be impressed by you.
ROLES AND RESPONSIBILITY:
- Monitor the compliance of the rules, regulations, notifications, guidelines, instructions issued by regulators and exchanges
- Supervising daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, risk monitoring, another day to day back-office work w.r.t Stock Broking
- Develop & implement system & processes to resolve clients- grievances and complaints
- Build and mentor the operations team to ensure efficient implementation of processes
- Set plans to manage a crisis or compliance violation
- Create sound internal controls and monitor adherence to them