Compliance Team Lead – Broking Compliance, 5 to 10 years in Churchgate, Mumbai

Job Description

• Lead, mentor, and manage the compliance team, ensuring efficient operations and high standards of accuracy.
• Oversee team activities to ensure compliance policies and procedures are being followed.
• Drive the implementation of compliance procedures specific to broking operations.
• Monitor compliance with all relevant SEBI regulations, exchange guidelines, and company policies.
• Conduct regular compliance audits and reporting to identify potential risks and areas of improvement.
• Lead efforts to secure new registrations and licenses with SEBI, ensuring compliance with all regulatory requirements.
• Liaise with internal and external stakeholders to gather necessary documentation and facilitate the registration process.
• Monitoring SEBI/Exchange Circulars on daily basis and circulate the relevant circulars with all stakeholders
• Managing Broking Companies and Stock Exchanges Compliances
• Membership Compliances of Broking Companies pursuant to various Stock Exchanges Bye-Laws (i.e NSE, BSE, MSEI, NCDEX, MCX). Assisted in
• Handling Inspection of SEBI and Stock Exchanges, Alternative Investment Fund.
• Filling of NBFCs Compliances, RBI Compliances – Non-Banking Financial Company – Non – Systemically
• Prepare various note on Company Law Matter, Securities Laws Matter and Compliances Related to it etc.
• Report, Employee Stock Options Scheme, Postal Ballot, Secretarial Audit, Quarterly, Annually and Event-
• Filling of Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 for BSE and NSE and MSEI Listed Company, Compliances under SEBI (Prohibition of Insider Trading) Regulations, 2015.