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-compliances 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
Regulatory Compliance,SEBI Regulations,Client on boarding,Broker empanelment,Stock Exchange,Due Deligence