Senior Manager

• Overseeing and managing end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements.
• Managing compliance activities associated with equity research function, including regulatory filings and internal control mechanisms
• Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
• Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.
• Dealing with internal auditors, system auditors, stock exchange inspection officials and SEBI officials
• Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence.
• Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters
• Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units.
• Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials, and stock exchange inspection teams during audits and inspections
• Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions
• Addressing compliance obligations pertaining to the Firm’s foreign subsidiaries, ensuring global regulatory alignment and governance

Relevant years to experience: 6 to 9 years