Senior Lead/AVP - Compliance - Stock Broking (8-10 yrs)

Key Responsibilities:

- Provide Regulatory Advisory and Advocacy and getting clarity from the Exchanges on regulatory circulars / guidelines and provide the same to various functions in the organisation

- Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.

- Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.

- Conduction Audit /review of various activity for Broking, DP, PMS & Branch inspections

- Handling Regulatory Inspections & Internal Audit Independently

- Liaison with Regulators

- Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.

- Preparing various reports & MIS for Senior Management & Board of Directors

- Responsible for framing internal policies, procedures, standards, and processes and ensure implementation of the same.

- Assessing the compliance risks faced by the business and to ensure that the organisation appropriately manages those risks.

- Overseeing and monitoring the implementation of the compliance program

- Provide compliance opinions to the functions in the organisation on applicability of regulatory laws in relation to activities of the organisation

- Promoting a compliance culture

- Providing guidance, advice, and/or training and educational programs, to improve business' understanding of related laws and regulatory requirements

- Coordinating and participating in the development of measures aimed at reducing the level of compliance risk.

Forming, maintaining and controlling the system of internal control and compliance risk management, system for correction of identified violation

- Oversee and monitor the Control risks viz. a viz. organisation standards and local regulatory environment, identify breaches and suggest/ implement mitigation measures.

- Review and regular update of policies and procedures in view of new regulations including compliance manuals.

- Liase with the Regulatory functions to resolve the issues and queries that organisation may be experiencing.

- Handle investigations, inspection related matters and provide support to the team handling inspections, investigations, and other regulatory matters.

- Engage in the Compliance Advocacy on the issues as well as on the consultation papers issued by the Regulators.

- Provide support to Compliance function to address any issues faced in Regulatory filings and other operational Compliance matters

- Handle regulatory investigations, queries, and ad-hoc matters along with Legal

- Lead the team and guide them to perform their duties effectively in this function

- Act as a back-up for the senior roles in the other Compliance related functions