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9 Systematix Shares & Stocks Jobs

Hiring Compliance Manager For Stock Broking Company

7-12 years

₹ 8 - 10L/yr

Mumbai

1 vacancy

Hiring Compliance Manager For Stock Broking Company

Systematix Shares & Stocks

posted 29d ago

Job Description

JD Compliance Profile

Manager Compliance :

  • B.com/M.com/CS/LLB 5 TO 12 years of experience in stockbroking 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 stockbroking 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 SEBI, 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

Read full job description

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What people at Systematix Shares & Stocks are saying

What Systematix Shares & Stocks employees are saying about work life

based on 32 employees
71%
79%
64%
80%
Strict timing
Monday to Friday
No travel
Day Shift
View more insights

Systematix Shares & Stocks Benefits

Team Outings
Cafeteria
Soft Skill Training
Job Training
Free Transport
Child care +6 more
View more benefits

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