Senior Manager/AVP - Broking Compliance

Key Responsibilities:

Manage day to day Broking compliance for Institutional Broking business which includes the following:

1. Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance / observation made during inspection.

2. Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionables.

3. Handling all NSE/BSE inspections, queries and audits

4. Training to new joinees on Broking regulations

5. Dissemination of Circulars and their implementation

6. Handle internal and external auditors

7. Manage all disclosures and compliances related to Insider Trading

Skills Required:

- CA or a CS with at least 4-5 years experience in an institutional broking house

- Good Understanding of the Broking Regulations

- Knowledge of capital market rules and regulations

- Understanding of the FPI / FDI regulations

- Knowledge of the PMLA / AML regulations