Vice President - Broking Compliance - CA

Designation: Vice President

Location:Mumbai - Borivali East

Qualification:Chartered Accountant

Experience

- 8-10 years working experience in Broking House/Exchanges.

- Good written and verbal communication skills.

- Should be well versed with rules, regulations of Equity Broking, DP, PMS and Commodities.

- Must have handled Inspections independently (right from preparing data till writing of reply and closing the same.)

- AIF, Research Analyst and Investment Advisory will be an added advantage.

Age - 32-35 Yrs

Job Profile

Job Profile will include:

- Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI, etc.

- Day to day query handling in relation to regulatory area of SEBI, NSE, BSE, NSDL, CDSL, MCX-SX, NCDEX, MCX, etc.

- Conducting Audit/ Review of various activities for Broking, DP, PMS, NBFC, Primary Market Distribution, commodities, PMS and Wealth Management Business and Audit of Sub brokers.

- Handling Regulatory Inspections (Stock Exchanges, SEBI, DP, Commodity Exchanges)and Internal Audits independently

- Liaison with Regulators

- Ensuring timely and accurate regulatory submission to exchanges, depositories, various PMS submissions, etc.

- Preparing various reports and MIS for senior management and board of Directors

Alpana Bagwe
Associate - Vitasta Consulting Pvt
022-25476846/7/9 | 311, Ganatra EstateKhopat, Thane West Maharashtra 400 601