Mangalam Placement Pvt Ltd. | Company Secretary
2 weeks ago
Job Title: Compliance Team Lead – Broking Compliance
Qualification : Company Secretary
Experience : 5 -10 yrs
Location: Churchgate, Mumbai
Job Responsibilities :
- Lead, mentor, and manage the compliance team, ensuring efficient operations and high standards of accuracy.
- Oversee team activities to ensure compliance policies and procedures are being followed.
- Drive the implementation of compliance procedures specific to broking operations.
- Monitor compliance with all relevant SEBI regulations, exchange guidelines, and company policies.
- Conduct regular compliance audits and reporting to identify potential risks and areas of improvement.
- Lead efforts to secure new registrations and licenses with SEBI, ensuring compliance with all regulatory requirements.
- Liaise with internal and external stakeholders to gather necessary documentation and facilitate the registration process.
- Monitoring SEBI/Exchange Circulars on daily basis and circulate the relevant circulars with all stakeholders
- Managing Broking Companies and Stock Exchanges Compliances
- Membership Compliances of Broking Companies pursuant to various Stock Exchanges Bye-Laws (i.e NSE, BSE, MSEI, NCDEX, MCX). Assisted in
- Handling Inspection of SEBI and Stock Exchanges, Alternative Investment Fund.
- Filling of NBFCs Compliances, RBI Compliances – Non-Banking Financial Company – Non – Systemically
- Prepare various note on Company Law Matter, Securities Laws Matter and Compliances Related to it etc.
- Report, Employee Stock Options Scheme, Postal Ballot, Secretarial Audit, Quarterly, Annually and Event-
- Filling of Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 for BSE and NSE and MSEI Listed Company, Compliances under SEBI (Prohibition of Insider Trading) Regulations, 2015.
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