Broking Compliance

Purpose of the role:

We are seeking a highly motivated Team Leader to join our team who will be responsible for handling proactive review, mock inspections cum surveillance for various regulated operations of the Company. This role involves managing a team of compliance professionals, ensuring proactive monitoring of implementation of various regulatory requirements. The ideal candidate will possess strong leadership skills, a deep understanding of regulatory frameworks, ability to ideate and implement surveillance/monitoring measures and the ability to analyze complex

Key Responsibilities (This should reflect the process/sub-process in which the position plays a role and specifically indicate the actions to be taken.

1. Team Management: Lead and mentor a team of compliance reviewers, providing guidance and support. Allocate resources and manage workloads effectively to meet the objectives of proactive review cum surveillance activities.

2. Proactive review cum surveillance: Oversee the proactive review cum surveillance process to ensure thoroughness and accuracy. Review and assess compliance risks and controls across various functions of the organization and recommend mitigation strategies. Develop and implement compliance review / monitoring tools.

3. Regulatory Adherence: Stay updated on relevant laws, regulations, and industry standards

4 Investigations: Conduct investigations into compliance breaches or potential violations and recommend appropriate actions.

5. Reporting and Documentation: Prepare detailed reports on compliance review findings and recommendations. Maintain accurate and up-to-date documentation of reviews/monitoring, observations, action points and status of the same. Present findings and recommendations to senior management and other stakeholders.

6. Process Improvement: Identify areas for improvement in compliance processes and propose enhancements.

7. Training and Development: Develop and deliver training programs for staff on compliance-related topics. Promote a culture of compliance awareness and ethical behavior within the organization.

Note: Additional responsibilities may be added from time to time depending on organisational requirements.

Experience: 1. Overall 7-9 years of experience in stock broking compliance.

2. Proven experience in compliance, audit, or risk management, with at least 5 years in a leadership role.

Qualification:CA/ Masters Degree in Business, Finance, Law, or a related field (Masters degree or professional certification preferred).

Certifications in Capital Market/area of Audit will be added advantage