YES Securities - AVP/VP - Compliance

Role Description /Key Responsibilities-

- To track Actionable circulars/Notifications from Regulatory authorities with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.

- Preparation of various applications for new regulatory licenses

- To develop a framework of Compliance Reviews of various activities

- To handle compliance-related activities for AIF, Research Analyst and Investment Advisory Business

- To handle Compliances pertaining to Depository Participant,

- To provide compliance clearances to various product notes, SOPs, Client Communications under strict timelines. Timely resolution of compliance-related queries of various stakeholders.

- Oversight on submission of Monthly/ Quarterly/half-yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance

- To handle regulatory Inspections and To Handle Exchange(s) mandated Internal Audits and various other Internal audits and to Co-coordinate with the exchange(s) for any compliance-related issues.

- Monthly review of recordings of dealing desk

- Drafting and vetting of various legal agreements

- To handle investor grievance cases directly received from Exchange(s) and preparing the draft reply and submitting the same to Exchanges (s)

Interpersonal Skills and Prerequisites-

- Should have excellent written and oral communication skills

- Ability to take initiatives and work with minimum supervision.

- Should be self -starter and should have in depth knowledge of Stock Broking and Commodity regulations.

- Should be well organized with eye for detail. Strong documentation and file management skills

- Excellent Knowledge of MS office

Qualifications-

- CA/CS/MBA/LLB.

- Relevant prior experience in Stock Broking /Commodity compliance is must.