drjobs Director - Compliance Institutional Brokerage Investment Services

Director - Compliance Institutional Brokerage Investment Services

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1 Vacancy
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Job Location drjobs

Mumbai - India

Monthly Salary drjobs

Not Disclosed

drjobs

Salary Not Disclosed

Vacancy

1 Vacancy

Job Description

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

Employment Type

Full Time

Company Industry

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