Senior Manager/Assistant Vice President - Institutional Compliance - Capital Market - Broking

This is regarding opening with a leading Broking Firm as a Senior Manager/AVP - Institutional Compliance

Designation: Senior Manager/AVP - Institutional Compliance

Experience: 4+ years of work experience in Broking or Institutional Compliance

- Hands-on experience in Research Regulations compliance and related regulatory frameworks.

- Prior experience in handling SEBI and Stock Exchange (SE) inspections, including preparation and coordination.

- Independently managed SEBI/Stock Exchange queries pertaining to Research and Broking business (including transaction-related matters).

- Regularly updated business teams on regulatory circulars, ensuring timely interpretation and implementation.

- Monitored and ensured compliance with NISM certification requirements for the Research team.

- Coordinated with regulators for periodic submissions, reporting, and compliance filings.

- Oversaw Insider Trading compliance, including monitoring and reporting obligations.

- Managed and resolved Investor Grievances in accordance with regulatory timelines.

- Reviewed and vetted Agreements to ensure regulatory and compliance alignment.