Avp - Compliance / Company Secretary

2 weeks ago

Mumbai Maharashtra, India Jefferies & Company, Inc. Full time

Core Competencies:

- Strategic Thinking: Ability to develop and execute strategic compliance initiatives aligned with business goals.
- Leadership and Influence: Strong leadership skills to inspire and motivate the compliance team and influence stakeholders.
- Compliance Expertise: Deep understanding of regulatory compliance requirements and best practices in the stock broking industry.
- Ethical Conduct: Commitment to upholding ethical standards and fostering a culture of integrity and compliance.Adaptability and Resilience: Ability to adapt to changing regulatory environments and navigate complex compliance challenges.

Compliance Excellence:

- Provide leadership and direction to the stakeholders, fostering a culture of ethical conduct and regulatory adherence.
- Ensure accurate and timely exchange and SEBI reporting (Daily, Weekly, Monthly).
- Lead internal and external audits, as well as regulatory inspections by SEBI, exchanges, and depositories.
- Draft responses to observations and queries raised by exchanges and SEBI, ensuring compliance with regulatory guidelines and timely feedback.
- Stay updated with the latest regulatory developments and changes impacting the stock broking / investment banking industry.
- Implement updates to internal compliance policies and procedures as per regulatory requirements.
- Ensuring compliance with KYC/AML regulations, internal policies, and procedures.
- Develop and conduct compliance training programs for staff on regulatory policies, procedures, and updates.
- Identify compliance risks and proactively implement measures to mitigate risks effectively.Handling of all ROC compliances including conducting of Board and other committee meetings

Qualifications / Experience
- Educational Qualifications: Profession qualification of Company Secretary is a must.
- Minimum of 8-10 years of progressive experience in compliance within the stock broking industry, with at least 3 years in a leadership role.
- Strong knowledge of SEBI regulations, exchange guidelines, and stock broking compliance requirements.
- Excellent analytical, problem-solving, and decision-making skills.
- Exceptional communication, negotiation, and interpersonal skills.

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