Compliance Head
Posted on :
21-06-2024
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Job Description
Description:
- Responsible for regulatory compliance in a stock broking business and regulatory audit assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
- Manage all operational processes as per regulatory framework to ensure exchange compliance.
- Facilitate preparation and amp; timely submission of various forms reports and other documents to Exchanges/Depositories.
- Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients enhanced riskbased supervision daily monitoring of client collaterals daily margin statements other periodic submissions etc.
- Assisting in ensuring exchange / DPrelated compliances applicable to the Company under SEBI Act SCRA Rules Regulations and amp; Byelaws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
- Assisting in handling Investor Grievances as per regulatory guidelines.
- Reviewing and amp; updating company forms and internal documents in line with applicable stock broking / DP guidelines.
- Liaising with Exchanges Depositories for routine matters
- Ensure processoriented TATdriven process as per defined SOP.
- Mentor and monitor team to ensure high level of accuracy and timely execution.
- Handling regulatory audits of SEBI Exchanges etc.
- Any other compliance matters as assigned from time to time.
Experience preferred: and nbsp;Knowledge of DP and Stock broking back office and compliance with SEBI
Regulations (Stock Broking Merchant Banking Invest Advisory) 5 years or more
and nbsp;
Employment Type
Full Time
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