Compliance Head

Job Description:

JD Manager – Compliance:

• CS/LLB 12+ years of experience in stock broking operations only.
• Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up.
• Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.
• Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.

Role: 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 back office of

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

Broking'

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