Compliance Head

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 the team to ensure a 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.