Senior Lead/AVP

2 days ago

Bengaluru, Karnataka, India Innova AM Tech Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Key Responsibilities:

  • Provide Regulatory Advisory and Advocacy and getting clarity from the Exchanges on regulatory circulars / guidelines and provide the same to various functions in the organisation

  • Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.

  • Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.

  • Conduction Audit /review of various activity for Broking, DP, PMS & Branch inspections

  • Handling Regulatory Inspections & Internal Audit Independently

  • Liaison with Regulators

  • Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.

  • Preparing various reports & MIS for Senior Management & Board of Directors

  • Responsible for framing internal policies, procedures, standards, and processes and ensure implementation of the same.

  • Assessing the compliance risks faced by the business and to ensure that the organisation appropriately manages those risks.

  • Overseeing and monitoring the implementation of the compliance program

  • Provide compliance opinions to the functions in the organisation on applicability of regulatory laws in relation to activities of the organisation

  • Promoting a compliance culture

  • Providing guidance, advice, and/or training and educational programs, to improve business' understanding of related laws and regulatory requirements

  • Coordinating and participating in the development of measures aimed at reducing the level of compliance risk.

  • Forming, maintaining and controlling the system of internal control and compliance risk management, system for correction of identified violation- Oversee and monitor the Control risks viz. a viz. organisation standards and local regulatory environment, identify breaches and suggest/ implement mitigation measures.- Review and regular update of policies and procedures in view of new regulations including compliance manuals.- Liase with the Regulatory functions to resolve the issues and queries that organisation may be experiencing.- Handle investigations, inspection related matters and provide support to the team handling inspections, investigations, and other regulatory matters.- Engage in the Compliance Advocacy on the issues as well as on the consultation papers issued by the Regulators.- Provide support to Compliance function to address any issues faced in Regulatory filings and other operational Compliance matters- Handle regulatory investigations, queries, and ad-hoc matters along with Legal- Lead the team and guide them to perform their duties effectively in this function- Act as a back-up for the senior roles in the other Compliance related functions

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