Head - Compliance - BFSI - CS/LLB

Position : Head of Compliance

Experience : 12 - 18 Years

Industry : Stock Broking

Functional Area : Compliance & Legal

Salary : 20 - 22 Lpa

Qualifications : CS / LLB

Location : Navi Mumbai

Preferred Exposure : Knowledge of DP and Stock broking back office and compliance with SEBI Regulations (Stock Broking, Merchant Banking, Invest Advisory)

Job Description :

- Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.

- Manage all operational processes as per regulatory framework to ensure exchange compliance.

- Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.

- Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.

- Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.

- Assisting in handling Investor Grievances as per regulatory guidelines.

- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.

- Liaising with Exchanges, Depositories for routine matters

- Ensure process-oriented, TAT-driven process as per defined SOP.

- Mentor and monitor team to ensure high level of accuracy and timely execution.

- Handling regulatory audits of SEBI, Exchanges, etc.

- Any other compliance matters as assigned from time to time.