AVP/DVP - Compliance - Stock Broking

AVP/DVP - Compliance - Stock Broking

Responsibilities :

- Implementation of circulars issued by SEBI, Exchanges & DPs

- Responding to queries of operations and business team

- Compliance review of various products

- Representation to regulators on various issues and

- Managing regulatory inspection and queries received from regulators

- Responding to regulatory inquiries and data requests

- Ensuring compliance requirements as per Exchange/SEBI Regulations

- Handling internal audits/ system audit/ cyber security audits and submission

- Ensuring regulatory submissions are adequate and timeline is maintained

- Review of various policies as per regulatory change

- Ensuring compliances with respect to SEBI PIT Regulations

- Implementation and corrective actions for regulatory observations

- Ensuring regulatory approvals for advertisements

- Reviewing and updating internal documents and SOPs as per applicable guidelines

- Ensuring adequate MIS reporting on various compliance aspects

- Driving compliance culture and collaborative approach with stakeholders

- Well - versed with digital client onboarding process

- Analytical mindset and process driven approach

- Soft skills & presentation are must