Senior Manager/Avp - Broking Compliance - Institutional Broking Business (5-10 Yrs)

Senior Manager/AVP - Broking Compliance

Key Responsibilities:

Manage day to day Broking compliance for Institutional Broking business which includes the following:
- Handle all Compliance for Institutional broking & ensure that there is no regulatory non compliance / observation made during inspection.
- Tracking all circulars / regulatory requirements and communicating the same to relevant teams with actionables.
- Handling all NSE/ BSE inspections, queries and audits
- Training to new joinees on Broking regulations
- Dissemination of Circulars and their implementation
- Handle internal and external auditors
- Manage all disclosures and compliances related to Insider Trading
Skills Required:
- CA or a CS with at least 4-5 years experience in an Institutional Broking house
- Good Understanding of the Broking Regulations
- Knowledge of capital market rules and regulations
- Understanding of the FPI / FDI regulations
- Knowledge of the PMLA / AML regulations