Hiring Compliance Manager For Stock Broking Company

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.