Compliance Manager

InCred Money Broking · Delhi, India

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