Job Description

Look into and resolve investor grievances/complaints - Address legal and arbitration cases - Manage operational and regulatory compliance -Quarterly Settlement of all clients - Ensure proper compliance under the SEBI act, SCRA, Rules and Regulations & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai, and circulars issued by SEBI, NSE, and BSE from time to time - Handle queries/investigation of stock exchanges and initiate action against the queries - Responsible for various periodical submissions to BSE and NSE - Attend audits & and inspections carried out by various authorities prior to and post-inspection work - Ensure proper management of the various activities so as to avoid non-compliance. Ensuring Compliance with the SEBI Act, 1992, Rules, Regulations, Notifications, Guidelines & and instructions issued by SEBI, BSE, NSE, CDSL, and the Central Government from time to time. Developing and updating policies, procedures, and controls for Compliance with new / changes in Regulations / Group Guidelines and regular monitoring. Submission of Various Reports to Stock Exchanges as per their requirements. Supervision of Account Opening Procedures [pertaining to KYC and Account Opening form]. Monitoring redressal of Investor Grievances. Corresponding with BSE, NSE, CDSL, SEBI, and other legal authorities related to various issues. Updating the company with the latest Circulars, Rules, and Regulations of BSE, NSE, MCX-SX, and CDSL that are to be complied with within the stipulated period. Uploading/submitting Annual Compliance Reports, Annual Returns, System Audit Reports, Internal Audit reports, Broker indemnity policies, and other reports in NSE ENIT / exchange/s. Liaising and coordinating with regulators on regulatory inquiries, and inspections. Verifying BOLT/NEAT and CTCL/IML terminal IDs and checking whether all the terminals are operated by approved users only. And also looking after the expiry of the ID. Debtors control - Follow up with branch heads, sub-brokers, and end clients for their debit balances. Issuing Pending notices to clients. Attending seminars conducted by Exchange(s)/ BSE Broker\xe2\x80\x99s Forum / ANMI at various points in time. Policy Development: Develop and update compliance policies and procedures in accordance with relevant laws, regulations, and industry standards. Ensure that policies are communicated effectively to all relevant stakeholders within the organization. Regulatory Monitoring: Stay abreast of changes in financial regulations and laws that may impact the stock broking industry. Regularly review and analyze regulatory updates to assess their impact on the organization. Training and Education: Conduct training sessions to educate employees on compliance policies and procedures. Provide ongoing support to ensure a clear understanding of regulatory requirements. Risk Assessment: Conduct risk assessments to identify and evaluate potential compliance risks. Collaborate with other departments to implement risk mitigation strategies. Audit and Monitoring: Plan and execute regular internal compliance audits to ensure adherence to established policies. Monitor and report on compliance issues, and recommend corrective actions when necessary. Reporting: Prepare and submit regulatory reports to relevant authorities within specified deadlines. Compile and analyze data related to compliance metrics for reporting to management. Investigations: Conduct investigations into potential compliance breaches and report findings to management. Recommend and implement corrective actions to address identified issues. Collaboration: Collaborate with other departments, including legal, risk management, and operations, to ensure a comprehensive approach to compliance. Work closely with external regulators and auditors during examinations and audits. Documentation: Maintain accurate and up-to-date records of compliance activities, including policies, training sessions, and audit reports. Job Types: Full-time, Permanent Salary: \xe2\x82\xb920,000.00 - \xe2\x82\xb940,000.00 per month Experience:

• total work: 5 years (Required)

Ability to Commute:

• Malad, Mumbai, Maharashtra (Required)

Ability to Relocate:

• Malad, Mumbai, Maharashtra: Relocate before starting work (Required)

Work Location: In person Speak with the employer
+91 9321899117