Compliance Manager_Mumbai

Job Description:

• Handling Compliances and Inspections related to all exchanges, Depository and Regulatory
• Validation and quality assurance of Inspection Reports
• Preparation and Submission of Periodical Returns to Exchanges, Depository (Quarterly, Half Yearly, Annually)
• Verification of KYC, KRA and the supporting documents of the Clients including Corporate, Trust, NRI and FPIs and their related compliances
• Review and updation of KYCs as per the latest guidelines of the Regulators
• Handling and resolving Grievances of Clients
• Formulation/ review of PMLA Policy and their related compliances
• Handling Independent Audits related to all exchanges, depositories and regulatory authorities ensuring best compliance
• Successfully ensured compliance with SEBI and Exchange Circular
• Developed and Implemented Standard Operating Procedures (SOP) for process optimization
• Conducting Regular Inspections of Branches and Authorised Person as per the directions issued by the Exchanges.

Desired Profile / Criteria / Skills :

Experience: 8 to 10 years of relevant experience in Retail broking, wealth management.

Education: Graduate / Postgraduate in related field (MBA preferred), NISM Series VII (Preferred)

Skills Required: Compliance Monitoring, Risk Management, Internal Controls, Auditing processes, Reporting Requirements, Policy analysis, Audit management, Anti-Money Laundering and Internal Audits.