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AVP Broking Compliance

3 months ago

Mumbai, Maharashtra, India Virtuous Advisors & Resources Private Ltd (Virtuous Resources) Full time

Key Responsibilities:
Manage day to day Broking compliance for Institutional Broking businesswhich includes the following:

Handle all Compliance for Institutional broking & ensure that there is noregulatory non compliance / observation made during inspection.
Tracking all circulars / regulatory requirements and communicating thesame to relevant teams with actionables.
Handling all NSE/ BSE inspections, queries and auditsTraining to new joinees on Broking regulationsDissemination of Circulars and their implementationHandle internal and external auditorsManage all disclosures and compliances related to Insider TradingSelf-contributor & should be able to handle exchange queries & keep the stakeholders informed

Skills Required:
CA or a CS with at least 4-5 years experience in an institutional broking houseGood Understanding of the Broking RegulationsKnowledge of capital market rules and regulationsUnderstanding of the FPI / FDI regulationsKnowledge of the PMLA / AML regulationsExpected to have hands on knowledge and ability to handle regulatory compliancesCandidate should be aware with settlement processes and operational reporting