- Look into and resolve investor grievances/complaints
- Address legal and arbitration cases
- Manage operational and regulatory compliance
- Quarterly Settlement of all clients
- Ensure proper compliance under the SEBI act, SCRA, Rules and Regulations & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai, and circulars issued by SEBI, NSE, and BSE from time to time
- Handle queries/investigation of stock exchanges and initiate action against the queries
- Responsible for various periodical submissions to BSE and NSE
- Attend audits & and inspections carried out by various authorities prior to and post-inspection work
- Ensure proper management of the various activities so as to avoid non-compliance.
Requirement
Policy Development:
Develop and update compliance policies and procedures in accordance with relevant laws, regulations, and industry standards.
Ensure that policies are communicated effectively to all relevant stakeholders within the organization.
Regulatory Monitoring:
Stay abreast of changes in financial regulations and laws that may impact the stock broking industry.
Regularly review and analyze regulatory updates to assess their impact on the organization.
Training and Education:
Conduct training sessions to educate employees on compliance policies and procedures.
Provide ongoing support to ensure a clear understanding of regulatory requirements.
Risk Assessment:
Conduct risk assessments to identify and evaluate potential compliance risks.
Collaborate with other departments to implement risk mitigation strategies.
Audit and Monitoring:
Plan and execute regular internal compliance audits to ensure adherence to established policies.
Monitor and report on compliance issues, and recommend corrective actions when necessary.
Reporting:
Prepare and submit regulatory reports to relevant authorities within specified deadlines.
Compile and analyze data related to compliance metrics for reporting to management.
Investigations:
Conduct investigations into potential compliance breaches and report findings to management.
Recommend and implement corrective actions to address identified issues.
Collaboration:
Collaborate with other departments, including legal, risk management, and operations, to ensure a comprehensive approach to compliance.
Work closely with external regulators and auditors during examinations and audits.
Documentation:
Maintain accurate and up-to-date records of compliance activities, including policies, training sessions, and audit reports.
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