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Executive Search Consultant at TruLux
Views:866 Applications:71 Rec. Actions:Recruiter Actions:30
Manager - Compliance - Broking Firm (8-12 yrs)
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
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