Senior Manager - Compliance - BFSI - LLB

Purpose of the Job :-

- 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

Key Accountabilities :

- Handle Regulatory Audit and conduct reviews of business processes, policies, circulars, notification issued by Regulators

Key Competencies :

- Experience in handling broking Compliances and Audit

Qualification :-

- Post -graduation degree in Law

Experience :-

Total Experience : Minimum 5 to 10 years of experience in handling issues/litigations pertaining to Labour laws and other Laws

Relevant Experience: Labour Laws and Securities Market Law