Address- Plan and execute the firm’s periodic Compliance risk assessment and the firm’s monitoring and testing program, in accordance with industry standards and expectations of management, auditors, and the regulator.
- Identify and monitor new and emerging regulatory and conduct risks and impacts on the firm.
- Liaise with business partners on new initiatives, products, and other matters, and consider their impacts on the Compliance risk assessment.
- Monitor the requirements of Insider Trading regulations for Stock Broking Business.
- Conduct monitoring, testing and surveillance activities both internal and in the regulatory framework.
- Conduct basic due diligence and put into place systems for compliance.
- Monitor changes in the regulatory environment and take appropriate action.
- Specify internal governance policies and regularly monitor compliance.
- Handle regulatory audits, inspections and routine queries.
- Create and manage effective action plans in response to audit discoveries and compliance violations.
- Maintain the Compliance policy and procedures framework, ensuring all artefacts are updated on a regular basis.
- Develop compliance solutions that satisfy relevant regulations, with a focus on consumer protection and conduct of business, including best execution, product governance, appropriateness, intermediary risk, inducements and disclosure requirements.
- Support the VP in the identification, analysis and implementation of regulatory change and coordinating the provision of guidance and advisory from Compliance.
- Support the VPin managing Compliance’s responsibilities for relevant Committees, and other meetings, ensuring appropriate information is tabled in a timely manner, including compliance monitoring and testing results, breaches as required.
- Assist the VP in developing and maintaining a Compliance staff training programme.
Qualified MBA /Company Secretary or Chartered Accountant with experience in compliances relating to broking primarily.
- Minimum 5-6 years of experience in matters related to capital market,Depository related Compliance Regulations and SEBI regulations.
- Regular liaising, communication, making correspondence with SEBI and other regulatory bodies in matters relating to record keeping and adhering to SEBI regulations.
- Conversant with Stock Broking and Depository related Compliance Regulations.
- Broad experience of assessing risks, developing policy, implementing systems and controls, drafting, procedures, devising and delivering training, and managing regulatory relations.
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
- Willing to take on additional responsibility, potentially including expansion of the role to cover other Compliance areas.
- Outstanding communication, analytical, and project management skills.
- Ability to work under pressure, formulate and articulate solutions and defend assumptions.
Trinkerr is building India's first social trading platform. It means bringing benefits of community to your investments. It means leveraging the combined social capital of the community to benefit you. It means making financial markets truly inclusive and democratic for the next 100 million users.
Trinkerr is a platform that enables retail investors to view, learn, follow, and execute the strategies of their peers or more experienced traders. The application integrates community features with trader discovery and trade execution. Our customers are retail investors who mostly rely on external advisory for their trade and investment decisions. We will help them invest in a customised, responsible and aware manner. We empower retail investors to align their risk-return objectives with optimum investment strategies and generate wealth in the process.
Trinkerr believes in a win-win for all. We are a well-funded Series A startup and are backed by some of the leading global as well as Indian venture capital funds and angel investors. Our investors include Accel Partners, India Quotient, Titan Capital, co-founders of Unacademy, Udaan, Cohoo, Graphy, Knappily and more. We have a strong founding team who are IIT and IIM alumni and have exceptional professional journeys.
