Functional Manager - Broking Compliance

. Purpose of the role:

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.

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

• Responsible for providing Exchange Approvals of Advertisements, internal communications to clients and liasoning with Internal Teams.
• Responsible for regulatory fillings to Exchanges such as Annual returns, Risk based supervision, Networth Certificate, Shareholding pattern, Membership fillings, change in Directors etc.
• Co-ordination with internal teams for collation of documents for the regulatory filings
• Co-ordination with SEBI/Exchange for approval of changes pertaining to change in directors, shareholding pattern, etc
• Dissemination of Circulars to various stakeholders and maintaining updated tracker of the circulars disseminated.

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, 2-3 years of experience with Stock Broking/ Exchanges in a compliance function managing regulatory compliances.

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

Qualification:

Master’s Degree or Equivalent Qualification

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