Senior Manager

3 weeks ago


Mumbai, Maharashtra, India JM Financial Ltd Full time
  • Overseeing and managing end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements.
  • Managing compliance activities associated with equity research function, including regulatory filings and internal control mechanisms
  • Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
  • Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.
  • Dealing with internal auditors, system auditors, stock exchange inspection officials and SEBI officials
  • Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence.
  • Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters
  • Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units.
  • Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials, and stock exchange inspection teams during audits and inspections
  • Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions
  • Addressing compliance obligations pertaining to the Firm's foreign subsidiaries, ensuring global regulatory alignment and governance

Relevant years to experience: 6 to 9 years


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