AVP Compliance

3 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

________________________________________________________________

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

  • Compliance- Assistant Manager/AVP

    4 weeks ago

    Mumbai, India Premier Consultants Full time

    This is regarding a Job Opportunity with a leading Fund Management Company Designation- Compliance- Assistant Manager/Chief Manager/AVP Experience- 3-12 Years Location- Mumbai Role & responsibilities: Coordinate with clients of the Company for SEBI AIF/PMS compliance matters. Address and resolve regulatory queries raised by clients. Liaise with regulators...

  • Senior Manager/AVP Compliance Inspection and Implementation

    4 weeks ago

    Mumbai, India Premier Consultants Full time

    Hiring for Senior Manager/AVP Compliance Inspection and Implementation - for a Leading Pvt Bank Designation: Senior Manager/AVP Compliance Inspection and Implementation Experience: 5+ years of work experience in BFSI sector in compliance inspection and Implemention Education: CA or MBA Location: Mubai Job Role: Ensure timely dissemination of RBI requests to...

  • AVP - Regulatory Compliance

    4 weeks ago

    Mumbai, India Angel One Full time

    About Angel One: Angel One is one of India''s fastest growing fin-techs, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact. Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We...

  • AVP - Regulatory Compliance

    2 weeks ago

    Mumbai, Maharashtra, India Angel One Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    About Angel One:Angel One is one of India''s fastest growing fin-techs, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact.Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We are...

  • AVP - Compliance Automation & Surveillance

    2 weeks ago

    Mumbai, India Franklin Templeton Full time

    At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...

  • Senior manager/avp

    2 days ago

    Mumbai, India The Premier Consultants Full time

    This is regarding a Job Opportunity for a leading BankDesignation-Senior Manager /AVP Compliance -PSUExperience- 7+ years of work experience in compliance management in RBI/Regulatory complianceNOTE: Looking for candidate from Public Sector Bank, candidate should have 3 to 4 years of work experience in PSU Bank in compliance roleLocation- MumbaiKey...

  • AVP TeleCollections

    4 weeks ago

    Navi Mumbai, India Incred Full time

    Job Title: AVP - Tele-CollectionsJob Type: Full-time Location- ThaneExperience: 8-15 years Key Responsibilities: Lead and manage a team of collection executives, team leaders and managers driving high performance and accountability. Design and implement tele-collections strategies to achieve recovery targets and minimize delinquencies. Monitor daily, weekly,...

  • AVP Compliance Automation

    1 day ago

    Hyderabad, Mumbai, India Anlage Infotech Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Job Title: AVP Compliance Automation & Surveillance (Market Abuse)Location: Hyderabad / MumbaiExperience: yearsEmployment Type: Full-timeIndustry: Banking / Financial Services / Investment ManagementAbout the Role:We are seeking an accomplished professional to lead our Compliance Automation and Market Abuse Surveillance function. The ideal candidate will...

  • India Business Oversight Compliance Avp

    2 weeks ago

    Mumbai, Maharashtra, India Barclays Full time

    **Job Title**: India Business Oversight Compliance AVP **Location**: Mumbai About Barclays Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global corporate...

  • AVP- Finance and Operations

    3 days ago

    Mumbai, Maharashtra, India iLabkart Technologies Pvt Ltd Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Company DescriptionAt iLabkart, we're driven by innovation, precision, and purpose. With two dynamic divisions under one vision, we are redefining excellence across industries:● iLab Medical – specializing in cutting-edge medical equipment, diagnostics, and reagents that empower healthcare professionals with reliable technology.● Ignite Fitness – a...