Manager/Senior Manager/VP/AVP - Broking Compliance Role - Financial Services - CS (4-15 yrs)
Position Title: Manager / Senior Manager / VP / AVP
Qualifications: Qualified as Company Secretary (MUST)
Work Experience :
Work experience of 4-7 years. Must have exposure & experience in managing Compliance and understanding & awareness about Debt Capital Market business in financial service sector.
Core Purpose of the Role:
- This role requires effectively managing compliance in the highly regulated business of financial services.
- To ensure full business related statutory compliance for all business segments existing & future, including but not restricted to Stock Broking Compliances, Compliances related to Online platforms , Investment Banking , and Distribution of Mutual Funds, Bonds, FD's and other products.
- To Evaluate new circulars issued, understand, discuss and ensure implementation
- Regular Submissions to SEBI / Exchanges / Auditors
- To assist about compliance requirements for all / any transactions in the various business areas, with special focus on the rules & guidelines of SEBI, Exchanges and other regulators and enforce the same through ensuring compliant processes and periodic team driven audits. This includes requirements related to KYC, trades, settlements, resolutions, and reporting. Indicatively the laws include SEBI Act, SEBI Rules, Depositories Act, ICDR (issue of capital & disclosure requirements), regulatory framework related to Securities Market intermediaries, AML / PMLA (prevention of money-laundering act) and Insider Trading regulations (SEBI-prohibition of insider trading regulations).
- To be able to draft relevant yet easy to implement compliance related policies (finally leading to a compliance manual) which would include basic business processes for transacting the routine business of the company covering multiple regulations for the businesses such as Broking, Distribution, Proprietary trades etc. This will include entity & business structure, transactions & special / critical laws such as AML & Insider trading regulations.
- To facilitate compliance related regulatory audits / internal audit.
- To evaluate & oversee the development / use of specialized financial structures from a compliance perspective as and when sought by business teams, and also deal with external legal advisors for the same. As and when required, to liaise with & work closely with Law firms, Company Secretarial firms, and any such external / third parties that the group may engage with from time to time for any activity / guidance.
- Expertise in liaison work with various exchanges (SEBI)
- Excellent communication
- Solution Orientation
- Positive Attitude
- Decision Making ability
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