Head - Compliance

Regulatory Compliance:

- Ensure the firm complies with the regulatory requirements set by SEBI, NSE, BSE, RBI, and other applicable bodies.

- Prepare and submit mandatory reports and filings to SEBI, NSE, BSE, and other authorities within specified deadlines.

- Monitor and stay up to date with changes in regulations and industry standards.

Policy Development & Implementation:

- Develop, implement, and periodically review internal policies, procedures, and controls to align with current regulatory standards and best practices in the financial markets.

Risk Management:

- Identify compliance risks and develop strategies to mitigate these risks through proper controls, training, and monitoring.

- Handling investors grievance cases directly received from exchange(s) & preparing drafts reply and submitting the same to exchanges.

Audit & Reporting:

- Coordinate and manage internal and external audits related to compliance. Prepare and submit compliance reports to the board and regulatory authorities as required.

- Training & Awareness: Conduct regular training sessions for staff to raise awareness on compliance obligations, ethics, anti-money laundering (AML) policies, and other relevant compliance matters.

- Investigation & Enforcement: Investigate potential breaches of compliance, fraud, or misconduct. Initiate corrective actions and ensure timely resolution of compliance issues.

- Compliance Monitoring: Oversee the monitoring of transactions, trading activities, and the implementation of controls to detect and prevent non-compliance or unethical conduct.

- Advisory Role: Provide strategic advice to senior management on compliance-related matters, including regulatory changes, risk assessments, and potential impacts on the firm's operations.

Skills and Qualifications:

Educational Qualification:

- Bachelor's degree Finance or related field.

- Certifications in Compliance, Risk Management, or related fields (e.g., CISA, CISM, or equivalent) will be an advantage.

Experience:

Minimum 3-5 years of experience in the compliance function, preferably in a stock broking firm.

Strong knowledge of Indian financial markets, stock broking regulations, and SEBI guidelines.

Experience with handling regulatory inspections, audits, and investigations.

Proven track record of developing compliance frameworks and implementing effective controls.