DVP/VP - Compliance - Broking Firm

- Heading the Compliance division for SEBI intermediaries' licenses for the Retail & Institution Broking, Depository, & Research division;

- Developing and reviewing internal controls for various departments to ensure that all process and activities are as per regulatory requirements including operational review of various processes viz. risk & back office etc;

- Providing Guidance to the teams on implementing provisions of circulars, Evaluating Risk & existing controls in each area of functions & recommending better control measures, Bench marking and implementation of best practices;

- Co-ordinating with independent & process auditors for review and strengthening internal controls and process;

- Assisting business development and legal team in finalizing product agreement with vendor, ensuring terms and product/process are functioning as per regulatory requirements;

- Guiding Investor grievance team in grievance resolution, analyzing grievance from process perspective for strengthening controls, and sharing inputs for IGRP & Arbitration cases;

- Making representations/ providing suggestion including comments on consultation paper to regulator for compliance issues etc.;

- Supervising & handling regulatory inspections of SEBI, Exchanges & DP and Internal Audit;

- Reviewing and framing of Compliance policies and procedures viz. Insider Trading, Conflict of Interest, PMLA, Client Code modification, Circulation of unauthorized news, Client registration policies, Internal control policy etc.;

- Supervising Regulatory submissions to Exchanges and Depositories as per timeliness and Guiding in data finalization for various regulatory submission.