Vice President - Compliance - Institutional Equities - CS

Role Designation : VP Compliance

Department: Institutional Equity

Function: IE Compliance

Reporting to : Head Comp. + Business Head

Location: Mumbai

Job Purpose

1. Critical Responsibilities:

- Global Regulatory Review: Conduct deep-dive reviews of regulations across multiple geographies (India, SEBI, SEC, FCA, etc.) and assess their direct impact on the business model.

- Multi-Jurisdictional Oversight: Act as the primary lead to manage and ensure the compliance of laws across all operating geographies, ensuring no regulatory gaps between domestic and offshore entities.

- Cross-Border Advisory: Proactively create awareness and brief business teams on local laws, soliciting restrictions, and compliance protocols before they travel to or market in specific international jurisdictions.

- Strategic KYC Management: Oversee the Client KYC process to ensure it meets the stringent and varying regulatory requirements of both domestic and international institutional investors.

2. Routine Responsibilities

- Regulatory Filings: Coordinate and ensure the timely submission of all regular filings, disclosures, and periodic reports with respective domestic and international regulators.

- Business Liaison: Maintain continuous engagement with internal business teams to ensure that daily operations remain within the defined compliance framework.

- Monitoring & Supervision: Monitor and audit adherence to Written Supervisory Procedures (WSP), ensuring that internal controls are being followed consistently across the floor.

3. Key Result Areas (KRAs)

- Compliance Standard Excellence: Define and maintain high-level compliance standards; ensure 100% adherence for the Institutional Equities business, including Research, Sales, and Trading activities.

- Subsidiary Operations: Act as the lead liaison with international lawyers, accountants, and consultants to ensure the smooth, compliant operation of all overseas subsidiaries.

- Global Expansion & Licensing: Partner with the Corporate team to spearhead the application and procurement of new regulatory licenses in identified target geographies to facilitate business growth.

Key Deliverables:

- Global Licensing & Entity Setup Roadmap

- Multi-Jurisdictional Regulatory Framework

- Statutory Filing & Compliance Calendar

- Audit Governance & Remediation Track

- Cross-Border Solicitation & Advisory Protocol

Role Requirements:

Educational Qualifications: CS

Domain Knowledge: IE Business Compliance

7 to 10 years Exp.

Proven experience in setting up entities or managing licenses in foreign jurisdictions. Deep understanding of SEBI (Stock Brokers) Regs, Research Analyst Regs, and FPI/ODI