AVP Compliance

4 days ago

Goregaon Navi Mumbai, India Bigul Full time ₹ 15,00,000 - ₹ 25,00,000 per year

About Bigul

Join Bigul, a dynamic and innovative platform transforming the future of trading Backed by the seasoned veteran of the industry, Bonanza group, Bigul is at the forefront of transforming the stock market with cutting-edge technology and customer-centric solutions. At Bigul, you'll find a vibrant and healthy work culture, growth opportunities, and the chance to make a real impact in the world of finance. If you're passionate about innovation, thrive in a fast-paced environment, and are looking for an exciting career with a forward-thinking company, Bigul is the place for you

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About Business line:

It plays a crucial role in ensuring that the firm adheres to regulatory standards and operates within legal frameworks set by financial authorities. The compliance function is responsible for protecting the firm from legal risks, maintaining market integrity, and safeguarding customer interests. This business line has become increasingly important due to the complex regulatory environment governing financial markets.

Role Overview:

The role involves ensuring that the brokerage firm's operations adhere to regulatory requirements, internal policies, and industry standards. This position involves overseeing the compliance framework within a discount broking environment, where cost-effective trading solutions are provided to clients without the full-service brokerage experience. The AVP of Compliance will play a crucial role in managing compliance risks, implementing policies, and maintaining regulatory relationships to safeguard the firm's reputation and operational integrity.

Responsibilities:

  • Expertise in drafting clear and professional correspondence and other documents of a legal, compliance, and business nature
  • Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e., NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, other days to day back-office work wrt 'Depository Participant and Stock
  • Surveillance - Implementing systems to monitor trading activities for suspicious patterns, ensuring compliance as guided by exchange and SEBI
  • Manage all operational processes as per the regulatory framework to ensure exchange compliance
  • To ensure KYC compliance, ID creations, CDSL ID and AP related compliance should be as per SEBI norms
  • To ensure the exchange approvals related software and Algos
  • Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
  • Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
  • Assisting in handling Investor Grievances as per regulatory guidelines.
  • Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.
  • Liaising with Exchanges, Depositories for routine matters
  • Ensure process-oriented, TAT-driven process as per defined SOP.
  • Any other compliance matters as assigned from time to time
  • To ensure the all-published advertisement should be as per compliance

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