Manager - Compliance - Broking Firm

Opening - Compliance - Broking

Company - One of the leading financial services firm

Location - Lower Parel, Mumbai

Role & Responsibilities:

- Handling various audit and inspection conducted by internal auditor, SEBI, Exchanges, Depositories

- Conduct thematic reviews of process, policies, circulars, notifications issued by Regulators etc to review the compliance health status

- Ensure timely completion of branch inspection as per the regulatory requirements

- Ensure that all the circulars/ notifications issued by Regulators have been implemented without any delay or deviations

- Present the audit and inspection observation to senior management after duly verifying it

- Reporting of the work on monthly, quarterly basis to senior management

Total Experience :

- Minimum 8 to 10 years of experience in handling issues/litigations pertaining to Labour laws and other Laws Relevant Experience: Labour Laws and Securities Market Law