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Finvasia - Head - Compliance - Capital Market

Finvasia - Head - Compliance - Capital Market

FINVASIAMumbai, India
12 days ago
Job description

Job Description : Head of Compliance (Stock Broking).

Position : Vice President.

Experience : 15+ years in Compliance (Stock Broking).

Location : Mumbai or Mohali (Punjab).

Role Overview :

  • The Vice President of Compliance will lead the compliance function at Shoonya by Finvasia, a prominent stockbroker, ensuring the organization's operations in both the stock broking and commodities sectors fully comply with all applicable regulatory frameworks and industry standards.
  • This role requires a strategic leader with extensive expertise in regulatory processes, audits, risk management, and compliance reporting, driving the company's commitment to operational integrity and industry best practices.

Roles and Responsibilities :

  • Lead and manage the compliance team, ensuring all activities align with the organizations strategic goals and regulatory obligations.
  • Develop and implement compliance policies and procedures to ensure adherence to regulatory requirements.
  • Oversee regulatory inspections and audits, ensuring the organizations preparedness for inspections by exchanges, regulatory bodies, and internal audits.
  • Ensure accurate and timely responses to regulatory authorities and other stakeholders.
  • Stay updated with regulatory changes and circulars from SEBI, RBI, NSE, BSE, MCX, and CDSL.
  • Facilitate the implementation of these regulations within the organization and ensure internal teams are compliant.
  • Cultivate and manage strong relationships with internal and external stakeholders, ensuring smooth communication and collaboration on compliance matters.
  • Oversee client onboarding processes, ensuring compliance with trading member regulations and exchange requirements.
  • Ensure compliance with trading terminal regulations and timely adherence to compliance deadlines.
  • KYC / AML / PMLA Oversight
  • Monitor and enforce adherence to KYC, AML, and PMLA guidelines in collaboration with operations and client onboarding teams.

    • ref : iimjobs.com)

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