Sr. Manager/AVP– Compliance, 10 To 12 Years In Mumbai

7 days ago

Mumbai, India Mangalam Placement Pvt Ltd. Full time

Position: Sr. Manager/AVP– Compliance

Qualification: Any Graduate, MBA

Experience: 10 to 12 years

Location: Mumbai


JOB DESCRIPTION /RESPONSIBILITIES


Key Responsibilities:

- 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 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.


Key Qualification:

- Graduate/Post Graduate with 12+ years of experience in the stock broking Industry only.

- Knowledge of DP and Stock broking back office and compliance with SEBI Regulations (Stock Broking, Merchant Banking, Invest Advisory), 8-10 years or more.

- 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.


Qualifications and Mandatory Requirement:

 Minimum 10-12 years of experience in compliance, preferably in the Broking (financial services sector).

 In-depth knowledge of regulatory requirements and compliance standards in the financial industry.

 Strong analytical and problem-solving skills.

 Excellent communication and interpersonal skills.

 Ability to work independently and manage multiple tasks simultaneously.

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