AVP/VP - Compliance - Wealth Broking

Need Candidates only from Securities/Broking Companies

- Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable circulars/Notifications 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 Track emails received on IGC & Compliance email Id and ensure closure of items/requests

- To develop a framework of Compliance Reviews of various activities

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

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

- To Maintain Regulatory correspondence trackers, Circular implementation Tracker and dashboard.

- To direct compliance issues to appropriate departments for investigation and resolution to ensure that the processes and procedures are adequate to meet regulatory requirements.

- Should be able to handle regulatory Inspections with limited supervision.

- To Handle Exchange(s) mandated Internal Audits and various other Internal audits

- To Co-coordinate with the exchange(s) for any compliance related issues.

- Monthly review of recordings of dealing desk

- To handle Arbitration matters with respect to identifying facts of the case, collecting evidences from respective departments and preparing draft statement of case

- To handle investor grievance cases directly received from Exchange(s) and preparing the draft reply and submitting the same to Exchanges (s) as well as attending IGRP meeting with compliance officer at Exchange(s).

Experience in SEBI and Stock Broking /Commodity compliance is must