JD for Compliance Manager

Job Description:

· Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.

· Manage all operational processes as per regulatory framework to ensure exchange compliance.

· Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.

· Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.

· 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.

· Mentor and monitor team to ensure high level of accuracy and timely execution.

· Handling regulatory audits of SEBI, Exchanges, etc.

· Any other compliance matters as assigned from time to time.

Experience preferred: Knowledge of DP and Stock broking back office and compliance with SEBI

Regulations (Stock Broking, Merchant Banking, Invest Advisory) – 5 years or more