Compliance Head

You have over 12 years of experience in stock broking operations, showcasing excellent organizational skills such as time management, record keeping, self-scheduling, and follow-up abilities. Your expertise lies in drafting clear and professional correspondence and legal, compliance, and business-related documents. Your flexibility allows you to prioritize tasks effectively and manage multiple responsibilities within tight deadlines. Your role primarily involves ensuring compliance with SEBI and other applicable rules and regulations of stock exchanges like NSE & BSE, depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, and other day-to-day back office work related to "Depository Participant and Stock Broking". As part of your responsibilities, you will be accountable for regulatory compliance in a stock broking business, assisting in Concurrent and Internal Audits, and Inspections by SEBI/CDSL/BSE. You will manage all operational processes to align with the regulatory framework, ensuring exchange compliance. Your role will involve facilitating the preparation and timely submission of various forms, reports, and documents to Exchanges/Depositories. Additionally, you will be responsible for ensuring timely operational reporting related to Exchanges and SEBI, such as daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, and other periodic submissions. You will assist in handling Investor Grievances as per regulatory guidelines and review and update company forms and internal documents in line with applicable stock broking/DP guidelines. Your role will also include liaising with Exchanges and Depositories for routine matters, ensuring a process-oriented, TAT-driven process as per defined SOP, mentoring and monitoring the team for high accuracy and timely execution, and handling regulatory audits of SEBI, Exchanges, etc. Any other compliance matters assigned from time to time will also fall under your purview. The ideal candidate for this role should have at least 5 years of experience and possess knowledge of DP and Stock broking back office operations and compliance with SEBI Regulations in areas such as Stock Broking, Merchant Banking, and Investment Advisory.,