Tip Sons - Head - Compliance - CA/CFA

Responsibilities :

- Provide strategic leadership and direction to the compliance team, establishing a strong culture of ethical conduct and regulatory compliance.

- Oversee the accurate and timely preparation and submission of exchange reports (daily, weekly, monthly).

- Implement a robust client grievance redressal mechanism, ensuring efficient and fair resolution of client concerns.

- Lead internal and external audits, including those conducted by SEBI, stock exchanges, and depositories.

- Coordinate audit processes effectively, address audit queries promptly, and ensure adherence to all audit requirements.

- Draft comprehensive and compliant responses to observations and queries raised by exchanges and SEBI, meeting all regulatory guidelines and ensuring timely feedback.

- Proactively stay updated on the latest regulatory developments and changes impacting the stockbroking industry.

- Implement necessary updates to internal compliance policies and procedures to reflect evolving regulatory requirements.

- Identify potential compliance risks and proactively implement measures to mitigate them effectively.

- Maintain strong relationships with regulatory bodies and ensure open communication.

Qualifications:

CA/CFA/MBA or equivalent qualification in finance or a related field (highly preferred).

5+ years of experience in a senior compliance role within the stockbroking industry (mandatory).

Proven track record of successfully leading and managing a compliance team.

In-depth knowledge of SEBI regulations, stock exchange bye-laws, and other relevant regulations governing stockbroking activities.

Strong understanding of internal controls frameworks and risk management best practices.

Excellent analytical and problem-solving skills.

Superior communication, interpersonal, and negotiation skills.

Ability to work independently and1 manage multiple priorities effectively