Intellectual Capital HR Consulting Pvt. Ltd.
Location
Mumbai | India
Job description
Role: Compliance Head Qualification: CS+LLB Experience: Candidates with experience in Broking firms preferred. We are seeking a dynamic and experienced Compliance Head to oversee regulatory compliance within our stock broking business. The ideal candidate will ensure adherence to SEBI and other applicable rules and regulations of the stock exchanges such as NSE & BSE, depositories, clearing corporations, and other regulatory bodies. This role encompasses a wide range of responsibilities including daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, and liaising with back-office operations of institutional cum HNI clients. Job Description: Oversee regulatory compliance in the stock broking business, including assisting in Concurrent and Internal Audits and Inspection by regulatory authorities such as SEBI/CDSL/BSE. Manage operational processes in accordance with regulatory frameworks to ensure exchange compliance. Facilitate the timely preparation and submission of various forms, reports, and documents to Exchanges/Depositories. Ensure timely operational reporting related to Exchanges and SEBI, such as daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, and other periodic submissions. Assist in ensuring compliance with exchange/DP-related regulations under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchanges, and Circulars issued by regulatory bodies. Handle Investor Grievances as per regulatory guidelines. Review and update company forms and internal documents in line with applicable stock broking/DP guidelines. Liaise with Exchanges, Depositories for routine matters. Ensure process-oriented, TAT-driven processes as per defined SOPs. Mentor and monitor the team to ensure a high level of accuracy and timely execution. Handle regulatory audits conducted by SEBI, Exchanges, etc. Undertake any other compliance matters as assigned from time to time. Join our team and play a key role in ensuring regulatory compliance and maintaining the integrity of our stock broking operations. Apply now to be part of this exciting opportunity.
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