Executive Vice President at YES Securities (India) Limited
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YES Securities - AVP/VP - Compliance (7-10 yrs)
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
- Relevant prior experience in Stock Broking /Commodity compliance is must.