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.