Senior Manager/Assistant Vice President - Compliance

Senior Manager AVP Compliance

Job Description:

We at Trans Management Consultant are hiring for the role of Senior Manager AVP Compliance with one of our esteemed client based in Dadar, Mumbai.

About Client:

Founded in 2000, Our Client was one of the first brokers to introduce online trading in India. With a client base of over 30 lakh, 130+ branches and 4,400+ business partners. What differentiates Our client from discount brokers is their in-house expert research team, RMs and branches which are designed to help customers understand the required serious approach and leverage the power of their experience and expertise.

Job Role:

The said candidate will be responsible for Regulatory compliance at Our Client. He/She will lead the Regulatory Compliance team located in Mumbai head office. Developing and maintaining compliance plans, related policies and procedures and promote and monitor compliance with relevant policies and procedures issued by regulatory and Organization's group.

The role is critical for ensuring that all operations and transactions comply with regulatory and legal standards. This involves implementing compliance programs and conducting regular risk assessments to maintain the integrity of the company.

Responsibilities:

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

- Conduct regular audits and risk assessments.

- Implementation of all regulatory changes

- 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-ordinating with Exchanges, Depositories, SEBI for various inspections and responding to queries.

- Co-ordinating with Internal auditors, systems/cyber auditors and various other audits.

- Guiding the internal stakeholders w.r.t various SEBI and Exchange circulars and implementing policies and procedures accordingly.

- Supervision over Regulatory function and ensure the TAT is followed.

Technical & Behavioral Competencies:

- Good understanding of compliance related policies and liasoning with SEBI, MCX,BSE & NSE, etc.

- Ability to think and act strategically and proactively

- Excellent communication, presentation, and leadership skills

- Good understanding of broking savings & investments universe