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AVP Compliance

Bigul
Mumbai, Maharashtra

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Job details

Full-time

Qualifications

Law
Organisational skills
Time management

Full job description

Department

Operations

No. of position

1

Experience

10+ years

Job Location

Vashi Mumbai

Role Overview

Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock

exchanges i.e. NSE & BSE, depositories, clearing corporations, daily settlements, return filing, client

communications, monitoring operations, reporting, empanelment, liaising with the back office of

institutional cum HNI clients, other day-to-day back office work wrt 'Depository Participant and Stock

Broking'

Key Responsibilities

Excellent organizational skills, including time management, record keeping, self-scheduling, and follow-up

In-depth knowledge of Broking industry operation

Expertise in drafting clear and professional correspondence and other documents of a legal, compliance, and business nature

Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, other days to day back-office work wrt 'Depository Participant and Stock

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 the 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

Qualifications

15-20 years of experience in the Broking industry is mandatory

CS/LLB

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