Compliance Head

3 days ago

mumbai, India RECEX Full time
Description:
  • Responsible forregulatory compliance in a stock broking business and regulatoryaudit assisting in Concurrent and Internal Audits and Inspection bySEBI/CDSL/BSE etc.
  • Manage all operationalprocesses as per regulatory framework to ensure exchangecompliance.
  • Facilitate preparation and amp;timely submission of various forms reports and other documents toExchanges/Depositories.
  • Ensuring timelyoperational reporting related to Exchanges and SEBI like dailymargin reporting of clients enhanced riskbased supervision dailymonitoring of client collaterals daily margin statements otherperiodic submissions etc.
  • Assisting in ensuringexchange / DPrelated compliances applicable to the Company underSEBI Act SCRA Rules Regulations and amp; Byelaws of Exchange andCirculars issued by SEBI/CDSL/BSE from time totime.
  • Assisting in handling Investor Grievancesas per regulatory guidelines.
  • Reviewing andamp; updating company forms and internal documents in line withapplicable stock broking / DPguidelines.
  • Liaising with ExchangesDepositories for routine matters
  • Ensureprocessoriented TATdriven process as per definedSOP.
  • Mentor and monitor team to ensure highlevel of accuracy and timelyexecution.
  • Handling regulatory audits of SEBIExchanges etc.
  • Any other compliance matters asassigned from time totime.
Experiencepreferred: and nbsp;Knowledge of DP and Stockbroking back office and compliance withSEBIRegulations (Stock Broking MerchantBanking Invest Advisory) 5 years or more andnbsp;

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