Avp - Business Regulatory at Mumbai for Broking Firm

3 weeks ago

Mumbai, India Kaapro Management Solutions Full time

Opening: 1 Nos.- Job ID: 63365- Employment Type: Full Time- Reference:
- Work Experience: 10.0 Year(s) To 17.0 Year(s)- CTC Salary: 30.00 LPA TO 45.00 LPA- Function: Legal & Regulatory / Company Secretary- Industry: Banking/Financial Services- Qualification: MBA/MMS/MPM/PGDM - Other Management- Location:

- Mumbai

Posted On: 30th Jun, 2023
**AVP - Business Regulatory will be instrumental in implementation of first Line Of Defense( LoD1) controls
and proceses in line with the regulatory as well as internal requirements, providing advise and guidance to
stakeholder departments/functions in complying with such controls, ensuring implementation of regulatory,
internal and Group requirements from a compliance oerosrective as applicable to a Full Service Stock
Broker /PMS/DP.

Direct Responsibilities
Responsible for implementation of LoD 1 controls, Regulatory Circulars ,guidelines, directives, advisories
etc, identification and mitigation of compliance gaps, adequate oversight over data quality while sharing the
same with regulators/auditors, handling CTCL team, placement of regulatory happenings and developments
along with required solutions before the management in conjunction with the HoD
LoD1 functional regulatory supervision and implementation
SPOC for Regulatory data supervision, implementation of regulatory and Group LoD 1 requirements,
collaboration with LoD2 and LoD3 functions appropriately to implement, validate and ensure continued
compliance from a business regulatory perspective
- Contributing Responsibilities- Continuous execution of the tasks above.
- Management and engagement of the functional staff.
- Reporting to Head - Business Protection & Control on the regulatory updates and necessary

resolutions.
- Technical & Behavioural Competencies- Advanced knowledge in compliance and control related processes, Liaoning with Regulatory

auditors and Inspections.- Understanding of processes and procedures as applicable to Full Service

Stockbrokers/PMS/DP/Commodities business.- Excellent communication, presentation, interpersonal and Leadership skills.

**Desired Profile / Criteria / Skills**:
PG /Professionally qualified
2. Certification in NISM and/or other relevant industry certifications
3. Relevant work experience of around 10 years or more in Capital Market preferably in Compliance,
Risk Management or Audit functions

**Key Skills**:

- Business Regulatory
- Nism
- Regulatory

**Company Profile**:
its is the fifth largest retail brokerage full-service brokerage firm and the 8th largest stock broker in India with 676631 customers. Its is one of the pioneers of online trading in India.

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