Compliance Lead
Compliance Lead
Posted on :
19-12-2024
Employer Active
1 Vacancy
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Share
Send me jobs like this
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Job Description
Key Responsibilities:
1. Regulatory Compliance & Reporting:
Ensure strict adherence to SEBI regulations stock exchange rules and other regulatory requirements related to stock broking.
Oversee SEBI and stock exchange reporting requirements ensuring timely and accurate submissions.
Keep abreast of any changes in regulatory requirements and update compliance practices accordingly.
Ensure strict adherence to SEBI regulations stock exchange rules and other regulatory requirements related to stock broking.
Oversee SEBI and stock exchange reporting requirements ensuring timely and accurate submissions.
Keep abreast of any changes in regulatory requirements and update compliance practices accordingly.
2. Policy Development & Implementation:
Develop and implement compliance policies and procedures to prevent violations and ensure the organization;s adherence to stock market regulations.
Conduct regular reviews and updates to compliance policies adapting to changes in the regulatory landscape.
Develop and implement compliance policies and procedures to prevent violations and ensure the organization;s adherence to stock market regulations.
Conduct regular reviews and updates to compliance policies adapting to changes in the regulatory landscape.
3. Audit & Inspection Management:
Manage all aspects of stock exchange inspections including coordinating responses to inspection queries and followups.
Conduct internal audits and mock inspections to identify potential compliance gaps preparing the team for official inspections and reviews.
Collaborate with auditors and regulators ensuring transparency and efficient audit processes.
Manage all aspects of stock exchange inspections including coordinating responses to inspection queries and followups.
Conduct internal audits and mock inspections to identify potential compliance gaps preparing the team for official inspections and reviews.
Collaborate with auditors and regulators ensuring transparency and efficient audit processes.
4. Risk Management:
Perform regular compliance risk assessments to identify analyze and mitigate potential risks associated with stock broking activities.
Work closely with the risk management and internal audit teams to monitor compliancerelated risks.
Perform regular compliance risk assessments to identify analyze and mitigate potential risks associated with stock broking activities.
Work closely with the risk management and internal audit teams to monitor compliancerelated risks.
5. Training & Development:
Lead the development and delivery of compliance training programs to educate employees on regulatory requirements and promote compliance awareness.
Stay current on compliance trends and regulatory changes and provide insights to staff to ensure continued compliance.
Lead the development and delivery of compliance training programs to educate employees on regulatory requirements and promote compliance awareness.
Stay current on compliance trends and regulatory changes and provide insights to staff to ensure continued compliance.
6. Internal Reporting & Collaboration:
Report on compliance activities issues and updates to senior management and board members maintaining an open line of communication on compliance matters.
Collaborate with various departments (legal finance operations) to ensure integrated compliance efforts across the organization.
Report on compliance activities issues and updates to senior management and board members maintaining an open line of communication on compliance matters.
Collaborate with various departments (legal finance operations) to ensure integrated compliance efforts across the organization.
Preferred Skills:
Professional certifications in compliance (e.g. Certified Compliance & Ethics Professional SEBI certification) are advantageous.
Strong analytical skills and attention to detail.
Ability to work in a dynamic and fastpaced environment.
Strong analytical skills and attention to detail.
Ability to work in a dynamic and fastpaced environment.
Employment Type
Full Time
Report This Job
Disclaimer: Drjobpro.com is only a platform that connects job seekers and employers. Applicants are advised to conduct their own independent research into the credentials of the prospective employer.We always make certain that our clients do not endorse any request for money payments, thus we advise against sharing any personal or bank-related information with any third party. If you suspect fraud or malpractice, please contact us via contact us page.
