Posted By
Posted in
Banking & Finance
Job Code
1442220
This is regarding Job opening with A leading Broking firm in Mumbai for Compliance Head in Mumbai.
JD :
Compliance Excellence :
- Provide leadership and direction to the compliance team, fostering a culture of ethical conduct and regulatory adherence.
- Ensure accurate and timely exchange reporting (Daily, Weekly, Monthly).
- Handle client grievances efficiently.
- Lead internal and external audits, as well as regulatory inspections by SEBI, exchanges, and depositories.
- Coordinate audit processes, address audit queries, and ensure compliance with audit requirements.
- Draft responses to observations and queries raised by exchanges and SEBI, ensuring compliance with regulatory guidelines and timely feedback.
- Stay updated with the latest regulatory developments and changes impacting the stock broking industry.
- Implement updates to internal compliance policies and procedures as per regulatory requirements.
Operational Excellence:
- Develop and conduct compliance training programs for staff on regulatory policies, procedures, and updates.
- Head the compliance team, providing guidance, support, and mentorship to ensure high performance and achievement of compliance objectives.
- Monitor regulatory changes and recommend proactive compliance strategies to senior management.
Process Transformation:
- Develop and implement strategic initiatives to ensure comprehensive compliance with SEBI regulations and exchange guidelines.
- Identify compliance risks and proactively implement measures to mitigate risks effectively.
Other Responsibilities:
- Engage with stakeholders, including regulators, exchanges, and depositories, to address compliance-related issues and ensure smooth operations.
- Foster a collaborative and positive work environment within the compliance team and across departments.
Qualifications: - Bachelor's degree in Finance, Law, Business Administration, or a related field. A Master's degree or professional certifications (e.g., CA, CS) are preferred.
- Minimum of 7-10 years of progressive experience in compliance within the stock broking industry, with at least 3 years in a leadership role.
- Strong knowledge of SEBI regulations, exchange guidelines, and stock broking compliance requirements.
- Excellent analytical, problem-solving, and decision-making skills.
- Exceptional communication, negotiation, and interpersonal skills.
- Competencies:
- Strategic Thinking: Ability to develop and execute strategic compliance initiatives aligned with business goals.
- Leadership and Influence: Strong leadership skills to inspire and motivate the compliance team and influence stakeholders.
- Compliance Expertise: Deep understanding of regulatory compliance requirements and best practices in the stock broking industry.
- Ethical Conduct: Commitment to upholding ethical standards and fostering a culture of integrity and compliance.
- Adaptability and Resilience: Ability to adapt to changing regulatory environments and navigate complex compliance challenges.
- Must be from Broking firm
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Posted By
Posted in
Banking & Finance
Job Code
1442220