Deputy Vice President – Compliance – BFS (12-22 yrs)

  • Full Time
  • Mumbai
  • Full Time
  • Mumbai

Job Description :

– Will be responsible for all compliance matters of Stock Exchange and Depositories of institutional and retail broking.

– Ensure the compliance of regulation, Rules, By laws of SEBI, FMC, RBI, Exchange and depository

– Will review existing process, procedures and formulate and implement new policy and process in accordance to compliance of regulators and exchange timely.

– Will handle the audit of exchange and depository and also internal audit management.

– Minutely monitor the alerts and reporting of all suspected and suspicious transaction to FIU and other relevant authorities.

– Presenting the compliance status to Regulator body and exchange.

– Providing Training to the compliance team to ensure smooth compliance operation across all Zonal, Regional and branch levels.


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