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

2 months 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.

  • Sr. manager/avp- compliance, 10 to 12 years in mumbai

    2 months 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...

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

    2 months ago

    mumbai, India Mangalam Placement Pvt Ltd. Full time

    Position: Sr. Manager/AVP– ComplianceQualification: Any Graduate, MBAExperience: 10 to 12 yearsLocation: MumbaiJOB DESCRIPTION /RESPONSIBILITIESKey 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...

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

    2 months ago

    Mumbai, India Mangalam Placement Pvt Ltd. Full time

    Position: Sr. Manager/AVP– ComplianceQualification: Any Graduate, MBAExperience: 10 to 12 yearsLocation: MumbaiJOB DESCRIPTION /RESPONSIBILITIESKey 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...

  • Mangalam Placement Pvt Ltd. | Sr. Manager/AVP– Compliance, 10 To 12 Years In Mumbai | mumbai

    2 months 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...

  • Avp - Sales

    7 months ago

    Mumbai, India CRIF Full time

    AVP/VP Software Sales Bangalore/Chennai - He/she will manage a team of three (Manager/Sr. Manager based in Mumbai, Banglore/Chennai and NCR) - He/she will be also mapped to 8-10 accounts to farm - Key KRA of an individual and team will be to hunt new logos from Med size and growing Banks / NBFC segment - Extensive experience in BFSI Software Sales...

  • Sr Branch Manager Retail Banking | BM

    3 weeks ago

    mumbai, India Sr Branch Manager Retail Banking Full time

    Branch Mgr - New Upcoming Flagship BranchesPan Mumbai- Most PreferredSouth Mumbai / Western MumbaiRetail Branch Banking Segment( Mumbai)Divyaa - 9137265848Sr. Key Responsibilities 1 Achieving growth and hitting sales targets by successfully managing the PCARM team for the cluster2 Designing and implementing strategic sales plan including marketing...

  • Broking Compliance, 8 To 10 Years In Mumbai

    4 weeks ago

    Mumbai, India Mangalam Placement Pvt Ltd. Full time

    Profile: Broking ComplianceQualification: CS,LLBExperience: 8 to 10 years Location: MumbaiJob descriptionKey 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...

  • Broking Compliance, 8 To 10 Years In Mumbai

    4 weeks ago

    Mumbai, India Mangalam Placement Pvt Ltd. Full time

    Profile: Broking ComplianceQualification: CS,LLBExperience: 8 to 10 years Location: MumbaiJob descriptionKey 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...

  • Broking Compliance, 8 To 10 Years In Mumbai

    4 weeks ago

    Mumbai, India Mangalam Placement Pvt Ltd. Full time

    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...

  • Broking Compliance, 8 To 10 Years In Mumbai

    4 weeks ago

    Mumbai, India Mangalam Placement Pvt Ltd. Full time

    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...

  • Avp - Legal Mumbai

    6 months ago

    Mumbai, Maharashtra, India GM Infotech Full time

    **Job Title : AVP - Legal | Mumbai** **Industry : IPO & Corporate Registry** **Job loaction : Mumbai (Vikhroli)** **Educational Qualifications **:Graduation **+ CS - **LLB - Knowledge of relevant statutory & regulatory compliances, for RTA related activities and basic MS Office. **Requirements**: - Submission of weekly & monthly MIS & pending statistics...

  • Global | AVP Employee Relations and Compliance

    2 days ago

    Mumbai, India Global Full time

    Job title: AVP Employee Relations LeadExp: 10+ yearsLocation: MumbaiNote Candidates from Banking, Investment Banking or any Asset Management firm will be PreferredSkills:Disciplinary ActionLitigationsGrievance ManagementPOSH and Labour ComplianceHas done Global set upKey responsibilities for this role:Under the supervision of local legislations, provide...

  • Avp - Marketing Connect Mumbai

    8 months ago

    Mumbai, India Choice Equity Broking Pvt. Ltd Full time

    **Mumbai** **Competency**: AVP - Marketing Connect Mumbai **Department**: Marketing **Designation**: Assistant Vice President **Legal Entity**: Choice Connect Private Limited

  • Avp

    7 months ago

    Mumbai, India Mangalam Placement Full time

    **Company**: Quantum Advisors Private Limited **Location** Mumbai **Experience** 8-10 Years **Key Skills** Chartered Accountant, risk management, Internal Audit, mutual funds **Position: AVP** **Qualification: CA** **Experience: 5 to 10 years** **Location: Mumbai** **Job description** **Roles & Responsibilities**: - Establish and monitor key risk...

  • Avp - Compliance Sanctions Advisory

    7 months ago

    Mumbai, India MUFG Bank, Ltd., Mumbai Branch Full time

    **Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...

  • Citi | AVP

    1 month ago

    mumbai, India Citi Full time

    Location - MumbaiDesignation -AVPExperience - 6+ yrsSkills - Tech Audit / IT Audit/ Cyber security/ Tech application / Subject Matter Expert/ Banking application.Work hours - 1pm -8 pm

  • ImpactGuru | AVP Product Manager | mumbai

    1 month ago

    mumbai, India ImpactGuru Full time

    Job Title: Associate Vice President (AVP) Product ManagerLocation: Andheri, MumbaiJob Type: Full-TimeExperience Level: 8-12 YearsAbout Us: ImpactGuru is India's No.1 crowdfunding platform, dedicated to making healthcare more affordable and accessible. We pride ourselves on innovation, excellence, and a commitment to providing outstanding products and...

  • CRIF | AVP

    1 month ago

    mumbai, India CRIF Full time

    CRIF India is a Great Place to Work 2023 certified.The Great Place to Work Assessment, based on rigorous and independent assessment, is considered a ‘Gold Standard’ in measuring workplace satisfactionJob Title: AVP - SalesExperience Level: 9-12 YearsLocation: MumbaiDepartment: SalesKey ResponsibilitiesB2B account management & acquiring new...

  • Avp - Derivatives Operations

    1 day ago

    Mumbai, India Riverforest Connections Full time

    **Job Description **AVP - DERIVATIVES OPERATIONS** **Responsibilities** - To ensure timely issuance of FPI certificate with due adherence to SEBI, RBI and other applicable regulations and ensuring it is in compliance with internal policies and procedures - To undertake all tasks relating to FPI registration and renewal. - To communicate effectively with...

  • Avp - Ho Reporting

    7 months ago

    Mumbai, India MUFG Bank, Ltd., Mumbai Branch Full time

    **Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...