Broking Compliance, 8 To 10 Years In Mumbai
4 weeks ago
Profile: Broking Compliance
Qualification: CS,LLB
Experience: 8 to 10 years
Location: Mumbai
Job description
Key Responsibilities:
1. Regulatory Compliance & Reporting:
- Ensure strict adherence to SEBI regulations, stock exchange rules, and other regulatory requirements related to stock broking.
- Oversee SEBI and stock exchange reporting requirements, ensuring timely and accurate submissions.
- Keep abreast of any changes in regulatory requirements and update compliance practices accordingly.
2. Policy Development & Implementation:
- Develop and implement compliance policies and procedures to prevent violations and ensure the organization's adherence to stock market regulations.
- Conduct regular reviews and updates to compliance policies, adapting to changes in the regulatory landscape.
3. Audit & Inspection Management:
- Manage all aspects of stock exchange inspections, including coordinating responses to inspection queries and follow-ups.
- Conduct internal audits and mock inspections to identify potential compliance gaps, preparing the team for official inspections and reviews.
- Collaborate with auditors and regulators, ensuring transparency and efficient audit processes.
4. Risk Management:
- Perform regular compliance risk assessments to identify, analyze, and mitigate potential risks associated with stock broking activities.
- Work closely with the risk management and internal audit teams to monitor compliance-related risks.
5. Training & Development:
- Lead the development and delivery of compliance training programs to educate employees on regulatory requirements and promote compliance awareness.
- Stay current on compliance trends and regulatory changes, and provide insights to staff to ensure continued compliance.
6. Internal Reporting & Collaboration:
- Report on compliance activities, issues, and updates to senior management and board members, maintaining an open line of communication on compliance matters.
- Collaborate with various departments (legal, finance, operations) to ensure integrated compliance efforts across the organization.
Qualifications:
- Bachelor’s or Master’s degree in Finance, Law, Business Administration, or related field.
- Minimum of 8-10 years of experience in compliance, with a focus on stock broking and stock exchange regulatory requirements.
- Extensive experience in managing SEBI compliance, stock exchange inspections, and regulatory reporting.
- Strong understanding of the stock market, SEBI regulations, and risk management principles.
- Excellent leadership and communication skills, with the ability to influence and drive compliance initiatives.
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