Chief Compliance Officer - Stock Broking Industry (15-25 yrs)

About Company: It is a wholly owned subsidiary of a listed organization offering a wide range of products and services to meet its customer's financial requirements and establishing a strong presence in the financial services sector.

Job Summary: The role involves overseeing and managing all Compliance and Regulatory matters related to RTA & broking activities. The Compliance Officer will possess a deep understanding of SEBI regulations, guidelines, and best practices. The role is critical in ensuring that the organization operates in full compliance with applicable laws and regulations.

Key Responsibilities:

1. Monitoring and ensuring compliance of circulars issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE, MCX; and regulations issued by NSDL/CDSL related to RTA & broking operations.

2. Developing standard operating procedures (SOP) and ensuring its strict adherence.

3. Ensuring timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges, and Depository for filling of all returns, disclosures declarations form etc.

4. Coordinating and managing all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.

5. Sending new circulars issued by SEBI / Exchanges, information and important communication to all internal and external stake holders.

Requirements:

1. Minimum 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution.

2. Deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking.

3. Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants and Experts.

4. Full-Time Bachelor's degree is a must & MBA degree is preferred.