Vice President - Sales & Trading Compliance - Capital Market

Vice President - Sales & trading Compliance (Capital Market)

- Advising and supporting the BUs on a wide range of internal and trade-related compliance matters.

- Identifying and advising on new or changes to existing laws, regulations and anticipated areas of regulatory focus.

- Drafting policies and procedures

- Providing guidance and working closely with the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to Sales and Trading activities.

- Participating in new product initiatives and implementation of new regulations.

- Supporting new tech initiatives, like the implementation of new trading and booking systems.

- Liaising with regional and global Legal and Compliance colleagues on matters pertaining to Sales and Trading matters.

Qualified:

- Chartered Accountant or Corporate Secretary (a Law Degree preferable, but not necessary).

- Minimum 12 years of relevant working experience with a global financial service company in the Compliance function

- Should be able to independently handle the Sales &Trading compliance function.

- Experience of dealing/interacting with Capital market regulators directly (e.g. SEBI, Stock Exchanges, etc.)

- Experience of managing on-site regulatory inspections/audits

- Experience of analysing regulatory guidelines / circulars and advising the relevant business units on the same

- Experience of providing solutions for complex regulatory issues

- Solid understanding of the nuances of the local capital markets