Compliance Manager

Department: Compliance

Location: DelhiGrade: Manager / Senior ManagerQualification: CS/CA/MBA having experience 4-5 yearsCompliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)Prevention of Insider Trading complianceImplementation of Circulars: Checking for new circulars.

Preparing Gist of the same and circulating the same to the concerned departments.Drafting and implementation of Policies – regulatory and governance perspectivePreparation and implementation of KYC and other documents on regular basis as per prevailing guidelinesProviding assistance to other department on Compliance related area and resolving queries raised by them.Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to themCompliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelinesPMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basisInspection of BranchesNISM Certification trackingCommunication with Exchanges, Depositories and SEBIInvestor grievances mechanism ensuring from ComplianceLiaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by themSubmission of Periodical returns.Identify improvement areas and opportunities for automationPeriodical submissionTracking and updating seniors about the Compliances aspects