Broking Compliance_Complaince and legal

We are seeking a highly motivated Compliance Professional to join our team who will be responsible for implementing the compliance processes within the organization and ensuring adherence to regulatory requirements.

The candidate should have analytical skills and ability to assess changes in regulations/ laws under which the products operate and provide guidance to other stakeholders to carry out those changes. The candidate should have acumen in interaction with exchanges / regulators / other stake holders for regulatory queries.

Key Responsibilities (This should reflect the process/sub-process in which the position plays a role and specifically indicates the actions to be taken.)

• Acquaint with latest and earlier regulatory changes affecting the organization and related products.
• Take appropriate action arising out of the regulatory circulars, including any regulatory changes and updating/formulating policies.
• Work with various stakeholders for implementing the regulatory compliances for Stock Broking Business. Ensure End to End Implementation of regulatory circulars including tracking all developments.
• Expert knowledge in the Code of Advertisement of the Exchange and providing compliance approval on the content in adherence with the Code and liaison with the Exchanges for getting approvals on timely basis and maintaining MIS.
• Expert knowledge and ability to provide end to end advisory on account opening journey related queries/new proposals and KYC related compliances.
• Ensure timely response to the regulators for data requirement and observation noted.
• Making policy Suggestions/Representations to MIIs and providing feedback on draft proposals of Exchange/CC/BBF/ANMI
• Stay updated on relevant laws, regulations, and industry standards and engage with intermediaries/broker forums for representing the Company.
• Ensure that all compliance activities align with regulatory requirements and organizational policies.
• Ensure that relevant Regulatory submissions are made on timely manner.
• Maintain accurate and up-to-date documentation of compliance activities and procedures.

Note:  Additional responsibilities may be added from time to time depending on organisational requirements.

Skills of required for the Profile:

1. The candidate should have understanding of regulations, strong analytical and logical thinking, and ability to engage and influence cross functional teams.

2. Skills: Strong organizational, and communication skills. Proficiency in compliance management software and tools.
3. Attention to Detail: High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
4. Ethics: Demonstrated integrity and ability to handle sensitive information with confidentiality.

2. The candidate should have ability of problem solving and provide guidance to internal teams.
3. Overall, 8-10 years of experience with Stock Broking in a compliance function managing regulatory compliances.

7. Proven experience in compliance, audit, or risk management.

Qualification:

Master’s Degree in Business, Finance, Law, CA/CS or a related field (Master’s degree or professional certification preferred).

Certifications in Capital Market/area of Audit will be added advantage