Compliance Officer - Broking - CS

We are looking for a Compliance Officer for a leading mid- market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

Responsibilities:

- Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI

- (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued there under.

- Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.

- Liaising with exchange, depositories & Auditors for all matters.

- Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.

- Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.

- Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.

- Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.

- Drafting, Vetting & executing various commercial/ business contracts and agreements

- Handling investor grievance.

- Interacting with the Board of Directors as needed.

- Any other compliance matters assigned from time to time.

- Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.

Qualifications:

- Graduate or MBA. CS will be preferred.

- Must have Broking / DP Compliance experience.

- Minimum 4-5 years of work experience with Stock Broking & DP entity.

- NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI

- Depository Operations Continuing Professional Education Program.