· 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.
LOCATION :NAVI MUMBAI VASHI
Job Description: ROLE: COMPLIANCE MANAGER
· 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
WITH REGARDS
UDAY KUMAR KACHHI
9329931732
