Associate Director

16 hours ago


Gandhinagar, India Riverforest Connections Private Limited Full time

Key Areas of Responsibilities : Be responsible for all the GIFT related compliances Be responsible for all branch compliances including all GIFT broking compliances, surveillance, monitoring, onboarding, empanelment, audits, inspection, NSE, BSE regulatory enquiries; trade alerts, deal room controls. Be responsible for developing and implementing the GIFT branch’s compliance programs to ensure adherence to laws, regulations, and internal policies. Key duties include overseeing risk assessments, conducting audits, creating and managing policies, leading employee training, and reporting on compliance issues to manager, management and regulatory bodies Ensure employee trade surveillance & NISM certificates are in order. Ensure timely compliance with all applicable SEBI& IFSC Regulations (e.g., SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, etc.), circulars, notifications, and guidelines issued by stock exchanges, clearing corporations, depositories and other authorities. Establish robust internal control mechanisms and risk management systems to prevent violations. This includes monitoring adherence to rules regarding client onboarding (KYC/AML), algorithmic trading, and handling of Unpublished Price Sensitive Information (UPSI). Administer the Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015. Support and coordinate with internal and external auditors, as well as during regulatory inspections. Provide compliance training and guidance to employees across various departments in GIFT branch (business, operations, technology) to foster a culture of compliance. Keep the Board of Directors, committees, India head of compliance and senior management informed of regulatory developments, their potential impact on business operations, and any material non-compliance issues observed. Monitor and ensure the effective handling and resolution of client/investor grievances, potentially through platforms like the SEBI SCORES portal.  Requirements  Minimum CA, LLB, MBA compulsory. Being a Company Secretary is preferable. Experienced with GFT stock broking compliances. Proficient in English ( written & spoken) Team player and in -depth understanding of with stock broking compliances Team player, proactive and able to multi task, Working with integrity, timeliness and completeness. Able to work independently. Valid NISM certificate. Minimum years of experience 8-10 years of experience, as compliance officer and corporate secretary in Stock Broking firm in the Compliance & Corporate Secretarial function


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