AVP - Compliance - CS / LLB

Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, other day-to-day back office work wrt 'Depository Participant and Stock Broking'

Responsibilities:

• Excellent organizational skills, including time management, record keeping, self-scheduling, and follow-up

• In-depth knowledge of Broking industry operation

• Expertise in drafting clear and professional correspondence and other documents of a legal, compliance, and business nature

• Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i. e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, other days to day back-office work wrt 'Depository Participant and Stock

• 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 the 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.

Qualifications:

15-20 years of experience in the Broking industry is mandatory

CS / LLB.