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Manager - Compliance:
Systematix Group
posted 4mon ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
CS/LLB 7-10+ 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.
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.
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.
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.
Employment Type: Full Time, Permanent
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based on 1 employee
Flexible timing
Monday to Friday
International travel
Systematix Group Benefits
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