GRD Group

Regulatory Compliance:- Ensure the firm complies with the regulatory requirements set by SEBI, NSE, BSE, RBI, and other applicable bodies.- Prepare and submit mandatory reports and filings to SEBI, NSE, BSE, and other authorities & exchanges within specified deadlines.- Monitor and stay up to date with changes in regulations and industry standards. Policy Development & Implementation: - Develop, implement, and periodically review internal policies, procedures, and controls to align with current regulatory standards and best practices in the financial markets.Risk Management:- Identify compliance risks and develop strategies to mitigate these risks through proper controls, training, and monitoring.- Handling investors grievance cases directly received from exchange(s) & preparing drafts reply and submitting the same to exchanges.Audit & Reporting:- Coordinate and manage internal and external audits related to compliance. Prepare and submit compliance reports to the board and regulatory authorities as required.- Training & Awareness: Conduct regular training sessions for staff to raise awareness on compliance obligations, ethics, anti-money laundering (AML) policies, and other relevant compliance matters.- Investigation & Enforcement: Investigate potential breaches of compliance, fraud, or misconduct. Initiate corrective actions and ensure timely resolution of compliance issues.- Compliance Monitoring: Oversee the monitoring of transactions, trading activities, and the implementation of controls to detect and prevent non-compliance or unethical conduct.- Advisory Role: Provide strategic advice to senior management on compliance-related matters, including regulatory changes, risk assessments, and potential impacts on the firm's operations.Skills and Minimum 3-5 years of experience in the compliance function, preferably in a stock broking firm.- Strong knowledge of Indian financial markets, stock broking regulations, and SEBI guidelines.- Experience with handling regulatory inspections, audits, and investigations.- Proven track record of developing compliance frameworks and implementing effective controls.Key Skills:- In-depth knowledge of SEBI regulations, stock broking guidelines, KYC, and AML norms.- Strong analytical, problem-solving, and decision-making abilities.- Excellent communication skills (verbal and written) to interact with regulatory bodies, senior management, and clients.- Attention to detail and the ability to manage multiple tasks effectively.- Strong interpersonal skills with the ability to work collaboratively across different departments. (ref:iimjobs.com)