As Manager - Compliance, you will be responsible for ensuring regulatory compliance as per Securities Law, Depositories Act, Stock Exchange Bye-laws, Anti Money Laundering Act, and other applicable regulations and guidelines. The role requires extensive understanding of capital market Intermediary compliances and should have expertise in establishing & implementing policies and processes. Core Responsibilities : - Deep understanding of SEBI Stock Broking regulation and related circulars, Stock Exchange rules and byelaws, Depository participant act and related circulars and other applicable rules, regulations, notifications, circulars, guidelines, orders issued by exchanges, depositories, regulators affecting the business activities, systems and controls and ensure timely implementation. - Ensure regular assessment of policies and procedures and other documents governing business activities to ensure compliance with applicable guidelines and regulations, resolve any identified deficiencies, and formulate proposals for revisions or amendments. - Identify and assess the compliance risks associated with the current and proposed business activities and recommend corrective actions. - Promptly alert senior management to significant compliance issues as well as periodically report to Group compliance on the effectiveness of the Company's compliance processes - Establishment & implementation of framework for group level anti-money laundering policy and processes including monitoring and managing end to end process that ensures compliance with Anti Money Laundering prescribed, preparation of Suspicious Transaction Report (STR) and other relevant documentation w.r.t Anti Money Laundering, ensure timely reporting to FIU-IND and conduct necessary training sessions. - Implement policies and processes required under prohibition of insider trading regulations - End to End Risk Management of stock broking business and regular review of risk policies. - Ensure timely submission of various reports with regulator, depositories and stock exchanges - Analyse client's complaints and prepare responses, collate complaint resolution details from cross functional departments and ensure timely submission of action taken reports on SEBI Complaint redressal platform. - Independently handle internal/external compliance audits and continuously monitor control and efficiency. - Ensure timely renewal of regulatory licenses and registrations. Skill Set requirement: - Minimum experience of 5 years in Stock broking/securities laws/AML compliances - Education: Qualified Company Secretary - Prior experience/understanding of stock broking regulations/ stock exchanges rules/ depositories act/ anti-money laundering act - A strong interpersonal, written and verbal communication skill as the profile requires frequent interaction with cross functional teams and management. - Must possess strong domain knowledge and understanding of Securities Laws / SEBI Regulations on Depositories / Stock Exchange Rules & Regulations other Directive of SEBI. - Functional Expertise - Keeps up-to-date with emerging business and market trends. - Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate analytical skills. - Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks. - Preference shall be given to candidates having certification of NISM Series VII: Securities Operations and Risk Management Certification Examination, NISM-Series-VIII: Equity Derivatives Certification Examination, NISM-Series-IIIA-Securities Intermediaries Compliance.

Gurgaon/Gurugram

Delhi NCR

Manager - Compliance - Capital Market 

Manager - Compliance - Capital Market  ,Job Description for Manager - Compliance - Capital Market  in INDwealth in  Gurgaon/Gurugram Delhi NCR for (5-10) years of experience. Apply Now!

Job Description for Manager - Compliance - Capital Market  in INDwealth in  Gurgaon/Gurugram Delhi NCR for (5-10) years of experience. Apply Now!