Director - Compliance, Institutional Brokerage & Investment Services

Key Areas of Responsibilities Ensuring implementation of regulatory & corporate compliances with respect to SEBI, BSE, NSE & NCL and other Regulatory Authorities including submission of all regulatory filings in a timely manner Managing application to Stock Exchanges / SEBI for renewal of licenses, change in Directorships/shareholding pattern of the Company etc. Assisting in any new business proposal and ensuring it is meeting the regulatory requirements, obtaining necessary regulatory approvals in a time-bound manner (wherever required) Advise the business on legal & compliance issues and regulatory risks pertaining to Broking, investment banking and research business Responsible for the various audits/inspections conducted by Stock Exchanges, SEBI, Internal auditors, External auditors, etc. Assist in ensuring that the Company has appropriate compliance framework to ensure compliance of all applicable laws, regulations and internal policies Conducting regular transaction monitoring, identifying suspicious activity/transactions, performing Client Due Diligence, etc. in accordance with internal policies. Formulating & Conducting face-to-face compliance trainings for staff at periodic intervals Formulate and implement compliance policies and plan in consultation and co-ordination with regional compliance team Identify and analyze regulatory changes and oversight implementation Formulate and implement appropriate remedial measures to prevent re-occurrence of breaches, if any. Responsible for Client on-boarding, broker empanelment and ensuring all SEBI, PMLA, FIU and other relevant KYC information / documents are adhered to in accordance with internal compliance checklist is adhered to Escalate potential delays/ red flags/ non-compliance//'s to manager effectively and in a time bound manner Oversee the identification, analysis and management of regulatory breaches. 12+ years of experience in working in financial services industry preferably from a global financial services firm Experience with legal matters and/or company secretarial matters would be preferred Clear and confident communication style – verbal and written Assertive personality – able to challenge difficult users and extract clear and logical requirements Attention to detail – individual will be required to ensure all impacted process/regulations are considered Good overall business knowledge – understanding trade life cycle of equities markets in India Experience in Indian legal matters across functions Good relationship with external agencies (Regulators, exchanges, Financial institutions) This is a single contributor and hence should be diligent, nimble footed, pro-active and hard working. Professional Degree – minimum of a MBA, Chartered Accountant, Company Secretary, and/or LLB Candidate with some legal experience and/or Company Secretarial experience will be preferred. Strong written and verbal communication skills

India
Maharashtra
Mumbai Show on map Get directions