Director Compliance

Key Areas of Responsibilities

·         Ensuring implementation of regulatory & corporate compliances with respect to SEBI, BSE, NSE & NCL and other Regulatory Authorities including submission of all regulatory filings in a timely manner

·         Managing application to Stock Exchanges / SEBI for renewal of licenses, change in Directorships/shareholding pattern of the Company etc.

·         Assisting in any new business proposal and ensuring it is meeting the regulatory requirements, obtaining necessary regulatory approvals in a time-bound manner (wherever required)

·         Advise the business on legal & compliance issues and regulatory risks pertaining to Broking, investment banking and research business

·         Responsible for the various audits/inspections conducted by Stock Exchanges, SEBI, Internal auditors, External auditors, etc.

·         Assist in ensuring that the Company has appropriate compliance framework to ensure compliance of all applicable laws, regulations and internal policies

·         Conducting regular transaction monitoring, identifying suspicious activity/transactions, performing Client Due Diligence, etc. in accordance with internal policies.

·         Formulating & conducting face-to-face compliance trainings for staff at periodic intervals

·         Formulate and implement compliance policies and plan in consultation and co-ordination with regional compliance team

·         Identify and analyze regulatory changes and oversight implementation

·         Formulate and implement appropriate remedial measures to prevent re-occurrence of breaches, if any.

·         Responsible for Client on-boarding, broker empanelment and ensuring all SEBI, PMLA, FIU and other relevant KYC information / documents are adhered to in accordance with internal compliance checklist is adhered to

·         Escalate potential delays/ red flags/ non-compliance's to manager effectively and in a time bound manner

·         Oversee the identification, analysis and management of regulatory breaches

Requirements

·         12+ years of experience in working in financial services industry preferably from a global financial services firm

·         Experience with legal matters and/or company secretarial matters would be preferred

·         Clear and confident communication style – verbal and written

·         Assertive personality – able to challenge difficult users and extract clear and logical requirements

·         Attention to detail – individual will be required to ensure all impacted process/regulations are considered

·         Good overall business knowledge – understanding trade life cycle of equities markets in India

·         Experience in Indian legal matters across functions

·         Good relationship with external agencies (Regulators, exchanges, financial institutions)

·         This is a single contributor and hence should be diligent, nimble footed, pro-active and hard working.

·         Professional Degree – minimum of a MBA, Chartered Accountant, Company Secretary, and/or LLB Candidate with some legal experience and/or Company Secretarial experience will be preferred.

·         Strong written and verbal communication skills