Head - Compliance - BFSI

Global Headhunters – an executive search firm promoted by IIM alumni.

Our client is a leading financial services firm spanning Equities and Commodities Broking,Investment Banking,Insurance Broking ,PMS and other segments. They seek a senior candidate with experience in Compliance in a broking environment.This position is based out of their Mumbai corporate office and reports to the CEO.

Job Responsibilities will include:

- Look into and resolve investor grievance / complaints

- Address legal and arbitration cases

- Manage operational compliance

- Ensure zero non compliance, zero penalty

- Assist in compliance with Companies Act 1956, Listing Agreement, coordinate with RTA, convene Board Meeting & Annual General Meeting and prepare minutes, etc

- Ensure proper compliance under SEBI act, SCRA, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai and circulars issued by SEBI, NSE and BSE from time to time

- Handle queries / investigation of stock exchanges and initiate action against the queries

- Responsible for various periodical submissions to BSE and NSE

- Attend audit & inspections carried out by various authorities prior and post inspection work

- Ensure proper management of the various activities so as to avoid non-compliance

If this opportunity interests you, please forward your profile in confidence.

In the body of your mail, kindly mention:

a] Current Organization
b] Designation
c] Total relevant experience in compliance (in years)
d] Educational background
e] Current & Expected CTC
f] Notice period