AVP - Compliance Company Secretary
AVP - Compliance Company Secretary
Posted on :
13-04-2025
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1 Vacancy
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Job Description
Description
Core Competencies:
- Strategic Thinking: Ability to develop and execute strategic compliance initiatives aligned with business goals.
- Leadership and Influence: Strong leadership skills to inspire and motivate the compliance team and influence stakeholders.
- Compliance Expertise: Deep understanding of regulatory compliance requirements and best practices in the stock broking industry.
- Ethical Conduct: Commitment to upholding ethical standards and fostering a culture of integrity and compliance.
- Adaptability and Resilience: Ability to adapt to changing regulatory environments and navigate complex compliance challenges.
Compliance Excellence :
- Provide leadership and direction to the stakeholders fostering a culture of ethical conduct and regulatory adherence.
- Ensure accurate and timely exchange and SEBI reporting (Daily Weekly Monthly).
- Lead internal and external audits as well as regulatory inspections by SEBI exchanges and depositories.
- Draft responses to observations and queries raised by exchanges and SEBI ensuring compliance with regulatory guidelines and timely feedback.
- Stay updated with the latest regulatory developments and changes impacting the stock broking / investment banking industry.
- Implement updates to internal compliance policies and procedures as per regulatory requirements.
- Ensuring compliance with KYC/AML regulations internal policies and procedures.
- Develop and conduct compliance training programs for staff on regulatory policies procedures and updates.
- Identify compliance risks and proactively implement measures to mitigate risks effectively.
- Handling of all ROC compliances including conducting of Board and other committee meetings
Qualifications / Experience
- Educational Qualifications: Profession qualification of Company Secretary is a must.
- Minimum of 810 years of progressive experience in compliance within the stock broking industry with at least 3 years in a leadership role.
- Strong knowledge of SEBI regulations exchange guidelines and stock broking compliance requirements.
- Excellent analytical problemsolving and decisionmaking skills.
- Exceptional communication negotiation and interpersonal skills.
Required Experience:
Exec
Employment Type
Full-Time
Department / Functional Area
Key Skills
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