Mangalam Placement Pvt Ltd. | Sr. Manager/AVP– Compliance, 10 To 12 Years In Mumbai | mumbai
1 week ago
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.
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mumbai, India Mangalam Placement Pvt Ltd. Full timePosition: 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...
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Mumbai, India Mangalam Placement Pvt Ltd. Full timePosition: 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...
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