Develop, implement, and manage the company's Regulatory compliance requirements.
Monitor and analyze trading activities for any irregularities or compliance.
Conduct regular audits and risk assessments.
Implementation of all regulatory changes
Provide compliance training and support to employees.
Stay updated with regulatory changes and ensure company policies are updated accordingly.
Prepare and submit compliance reports to regulatory bodies.
Collaborate with internal and external stakeholders to address compliance issues.
Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.
Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.
Co-ordinate with Internal auditors, system auditors and various other audits.
Liasoning with product and sales team for getting empaneled with various fund houses, AMC's and AIF's for distribution of third party financial products
Qualifications:
Education:
CS/CA/LLB/MBA or candidates with compliance experience
Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.
Experience:
3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.
Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).
Skills & Competencies:
Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.
Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.
Excellent communication skills - ability to interact effectively with trading desks, senior management, and regulators.
Proficiency in Excel, Word, and exposure to trading and surveillance systems.
Job Type: Permanent
Pay: ₹50,000.00 - ₹100,000.00 per month
Benefits:
Paid sick time
Provident Fund
Work Location: In person
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