Sr. Compliance Executive

Role & Responsibilities

·        Develop, implement, and manage the company's Regulatory compliance requirements.

·        Monitor and analyze trading activities for any irregularities or compliance.

·        Conduct regular audits and risk assessments.

·        Implementation of all regulatory changes

·        Provide compliance training and support to employees.

·        Stay updated with regulatory changes and ensure company policies are updated accordingly.

·        Prepare and submit compliance reports to regulatory bodies.

·        Collaborate with internal and external stakeholders to address compliance issues.

·        Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.

·        Co-ordinate with Exchanges, Depositories, SEBI for various inspections and responding to queries.

·        Co-ordinate with Internal auditors, system auditors and various other audits.

·        Liasoning with product and sales team for getting empanelled with various fund houses, AMC's and AIF's for distribution of third party financial products

Qualifications:

Education: • CS/CA/LLB/MBA or candidates with compliance experience

• Additional certifications such as NISM Series IIIA (Compliance Officer Module) or NISM Series VII (Securities Operations & Risk Management) are desirable.

Experience: • 3-5 years of relevant experience in compliance within Institutional Equities or a broking/investment firm.

• Experience dealing with SEBI, NSE, BSE, and understanding of institutional investor categories (FPIs, Mutual Funds, AIFs, and PMS).

Skills & Competencies:

• Strong knowledge of SEBI regulations, equity market structure, and institutional trading norms.

• Sound skill of drafting regulatory correspondence and other documents of business, compliances etc.

• Excellent communication skills – ability to interact effectively with trading desks, senior management, and regulators.

• Proficiency in Excel, Word, and exposure to trading and surveillance systems.