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Job Overview

Category

CA, CFA, CMA, MBA

Gender preferred

No Preferences

Functional Area

BFSI (Credit & Risk)

Job Role

Compliance Analyst/Manager

Career Level

Qualified Professional - Experienced

Work preferred

Work from Office

Experience

Min Experience

15 Years

Max Experience

16 Years

Qualification

Graduation

Any Graduation

Post Graduation

ICWA (CMA), CFA, CA - Qualified, MBA/PGDM

Description

Responsibilities:-

  • SEBI relationship management and management of SEBI Inspection
  • Good understanding of Securities Laws / SEBI Regulations on Depositories / Stock Exchange Rules & Regulations other Directive of SEBI
  • Provide guidance to internal stakeholders on interpretation of regulations and guidelines issued by Regulatory Authority on Stock & Commodity Exchange
  • Vetting and approving various advertisements, factsheets, posters etc., other communications to investors / customers
  • Maintain central repository of business compliance manuals, policies, local legal inventory, and central list of all governing status, regulation, policies, and other material related to respective compliance program
  • Participate in and representing the views of the organization in regulatory and industry forums, councils and associations. Help industry create industry benchmark on Consumer Protection and KYC/AML
  • Leveraging external information to identify key regulatory risks for the entity based on the status of its internal control environment
  • Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof.
  • Identify, investigate and resolve indications of violations to the Company's internal policies, systems and controls or to applicable laws, rules or regulations.
  • Do necessary regulatory filing including applicable foreign regulatory filings.

Qualification:-CA/MBA/CFA/CMA with 15 years of experience in Regulatory Compliance in Stock Exchange / Broking Firm / Big 4 / SEBI.

Skills

CMACFAMBAChartered Accountant(CA)ComplianceSEBILegal inventoryBenchmarkingRegulatory risk

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