Career International 科锐国际
Location
Bangalore | India
Job description
We are seeking a highly qualified Operations Compliance Officer for our broking company. The ideal candidate will be responsible for monitoring and ensuring compliance with legal and regulatory requirements, as well as overseeing internal policies and procedures to ensure they meet industry standards and best practices. The successful candidate should possess knowledge of SEBI regulations and have experience managing risk and compliance for financial services firms. The candidate must comply with other legal requirements from exchanges.
Responsibilities Ensuring compliance requirements as per Exchange/SEBI Regulations. Liaising with software vendor for development and verification of data and also implementation of new guidelines and circular issued by the regulators on time to time. Adhering into Compliance calendar of all Exchanges in all segments. Responsive & Written Correspondence with SEBI & various Exchanges. Filing, drafting replies of matter related to GRC/Arbitration, SEBI and all exchanges. Handling IGRC matters with BSE and NSE and resolving client complaints. Be agile and highly collaborative, communicate impressively. Taking care of timely Reporting related to Exchange. Checking the data of reporting through different aspects and identify the problems in the data part of reporting. Experience in handling Audit i.e Concurrent, Internal audit and NSE/BSE/CDSL/SEBI inspection and data submission. Ensuring Enhanced Supervision submission and Funds Settlement. Handling all Compliances related to SEBI, various Exchanges & Depository Participant in Cash, F&O, Currency and Commodity Segments. Responsible for management of business reporting and any ad hoc reporting from time to time. Proficient knowledge of MS Excel/ppt is a must Addressing internal queries, data requirements and escalations Additional qualifications pertaining to EQUITY operations is preferred. To manage, train and control teams responsible for processing all the above products. Able to work well with business growth departments and provide creative solutions, as well as experience in handling regulatory reviews and appeals. Qualifications: Preferably be a CS/LLB/MBA Certification: NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Have a minimum of 8 to10years of work experience in stock broking compliance department. Working experience in a multinational company is preferred. Compensation: Competitive salary Bonus potential Medical insurance Continuing education benefitsJob tags
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