Senior Manager/Asst. Vice President-CS-7-8-Prabhadevi

3 weeks ago

Mumbai, Maharashtra, India Mangalam Placement Private Limited Full time
Job Description

Role : Senior Manager/Asst. Vice President

Experience : 7 to 8 Years

Location : Prabhadevi

Qualification : CS

Job Description :

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 .

Addressing compliance obligations pertaining to the Firm's foreign subsidiaries, ensuring global regulatory alignment and governance.

Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions

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