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Finvasia - Head - Compliance - Capital Market
FINVASIAMumbai, India12 days ago
Job descriptionLead 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.
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 :
ref : iimjobs.com)
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Head Compliance • Mumbai, India
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