Compliance Manager

Job description

JD for Compliance
Manager

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.

Experience preferred: Knowledge of DP and Stock broking back
office and compliance with SEBI

Regulations (Stock Broking, Merchant Banking, Invest Advisory) –
5 years or more