Compliance manager

Department: Compliance
Location: Delhi
Grade: Manager / Senior Manager
Qualification: CS/CA/MBA having experience 4-5 years
Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)
Prevention of Insider Trading compliance
Implementation 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 perspective
Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines
Providing 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 them
Compliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelines
PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis
Inspection of Branches
NISM Certification tracking
Communication with Exchanges, Depositories and SEBI
Investor grievances mechanism ensuring from Compliance
Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them
Submission of Periodical returns.
Identify improvement areas and opportunities for automation
Periodical submission
Tracking and updating seniors about the Compliances aspects