AVP - Broking Compliance
7 days ago
The ideal candidate will possess strong leadership skills, have strong analytical skills and ability to assess changes in regulations/ laws under which the products operate. The right candidate should be strong in decision making, problem solving and provide guidance to other stakeholders in complex situations. The candidate should have Strong acumen in interaction with exchanges / regulators / other stake holders for regulatory queries / Trading System
Responsibilities:
Team Management
Lead and mentor a team of compliance professionals, providing guidance and support.
Conduct performance evaluations and manage professional development for team members.
Allocate resources and manage workloads effectively to meet compliance review objectives.
Compliance Oversight:
Keep up to date with any regulatory or statutory changes and policies that might affect the organization and take appropriate action arising out of the regulatory circulars, including any regulatory changes and formulating policies
Review and assess compliance risks and controls across various functions of the organization.
Develop and implement compliance review methodologies and best practices.
Regularly apprise the management on status of compliance and report any deviations/area of concerns
Work with stakeholders and drive regulatory compliances for Stock Broking Business
Review operative processes from regulatory compliance standpoint
Regulatory Adherence:
Stay updated on relevant laws, regulations, and industry standards and engage with intermediaries/broker forums for representing the Company
Ensure that all compliance activities align with regulatory requirements and organizational policies.
Handle Regulatory Audits, offsite Inspections, Investigations and other ad-hoc audits to identify possible weaknesses or risks. Also ensure responses to the regulator’s observation are provided on timely manner.
Address and resolve any compliance issues or violations identified during reviews.
Work with various stakeholders on open compliance risks and validate manner of risk mitigation and assist them in solving Ad-hoc or systematic problems related to regulations.
Reporting and Documentation:
Prepare detailed reports on compliance review findings and recommendations.
Maintain accurate and up-to-date documentation of compliance activities and procedures.
Present findings and recommendations to senior management and other stakeholders.
Process Improvement:
Identify areas for improvement in compliance processes and propose enhancements.
Implement changes to improve efficiency and effectiveness of compliance reviews.
Monitor and evaluate the impact of process improvements
Training and Development:
Develop and deliver training programs for staff on compliance-related topics.
Promote a culture of compliance awareness and ethical behaviour within the organization.
Skills Required:
The candidate should have eye for details, understanding of regulations, strong analytical and logical thinking, and ability to engage and influence cross functional teams.
Strong organizational, and communication skills.
Proficiency in compliance management software and tools.
Attention to Detail: High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
Ethics: Demonstrated integrity and ability to handle sensitive information with confidentiality.
The candidate should be strong in decision making, problem solving and provide guidance to internal teams
Overall 10-12 plus years of experience with Stock Broking in a compliance function managing regulatory compliances.
Proven experience in compliance, audit, or risk management, with at least 5 years in a leadership role.
Qualification:
Master’s Degree in Business, Finance, Law, or a related field (Master’s degree or professional certification preferred).
Certifications in Capital Market/area of Audit will be added advantage
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