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Systematix Group
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Manager Compliance

Manager Compliance

Systematix Group

7 - 10 years

9 - 12 Lacs

Mumbai

Posted:15 hours ago| Platform:

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Skills Required

Legal compliance Compliance Cdsl Compliance Manager Scheduling Operations Monitoring Auditing Stock broking SEBI

Work Mode

Work from Office

Job Type

Full Time

Job Description

Qualification : CS / LLB

Job Profile :

JD Manager Compliance:
CS/LLB 7-10+ years of experience in stock broking operations only.
Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up.
Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.
Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.
Job Description:
Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
Manage all operational processes as per regulatory framework to ensure exchange compliance.
Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
Assisting in handling Investor Grievances as per regulatory guidelines.
Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.
Liaising with Exchanges, Depositories for routine matters
Ensure process-oriented, TAT-driven process as per defined SOP.
Mentor and monitor team to ensure high level of accuracy and timely execution.
Handling regulatory audits of SEBI, Exchanges, etc.
Any other compliance matters as assigned from time to time.
Offer CTC: - 8Lac to 10Lac

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Systematix Group

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Manager Compliance