Apply NowMicrosoft Word - JD - Compliance Manager - Manager June

Submission of Weekly/Monthly/ Quarterly/half-yearly and Annual regulatory submissions to SEBI / exchange(s)/ Depositories and to handle day-to-day Regulatory Compliance.

To track circulars / Notifications issued /received from Regulatory authorities (NSE/BSE/CDSL/NSDL/SEBI) with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.

To handle regulatory Inspections and To Handle Exchange(s) mandated Internal Audits, Depositories mandated Concurrent and Internal Audit and various other Internal audits and to Co-coordinate with the exchange(s)/depositories/SEBI for any compliance-related issues.

To handle investor grievance cases directly received from Exchange(s) / Depositories and preparing the draft reply and submitting the same to Exchanges / Depositories. Follow up with Exchanges / Depositories for quick closure of complaints

To handle compliance-related activities for Research Analyst and Investment Advisory and Depository Participant Businesses.

Development as well as assessment of adequacy of policies and procedures and other documents governing business activities to ensure compliance with applicable business regulations.

Ensuring closing of AML/ Surveillance alerts and to develop a framework of Process Reviews from a compliance perspective of various activities.

Job specific skills Should have good written and oral communication skills Ability to take initiatives and work with minimum supervision. Should be a self -starter and should have in depth knowledge of Stock Broking and regulations. Should be well organized with an eye for detail. Strong documentation and file management skills Excellent Knowledge of MS office

Graduate / MBA or equivalent (+ LLB would be preferable)

Minimum Experience Relevant prior experience of 7/10 years in Stock Broking/DP compliance is must. Knowledge of Research Regulations / Investment Advisory will be preferred. NISM certification VI/VII/IIIA required.

CTC OFFERED Compensation will not be a limiting factor for the right candidate and will be discussed on a case by case basis.

Location of posting Mumbai The candidate may be deputed to work with the team(s) with the organization/ parent organization/ any subsidiary of the parent organization if and as deemed necessary.

How to apply Applications should be submitted on our email careers@bobcaps.in Please mention Application for the post of Compliance - Manager in the subject. Applications with any other subject will not be accepted.