Compliance Manager (institution broking)

Responsibilities Hands on experience of Research Regulation and instituion broking Prior experience of SEBI/SEs’ inspection Independently handle SEBI/SE queries relating Research and Broking business (transaction related) Updating business team on regulatory circulars and implementing the same Monitoring NISM certification for Research Team Coordinating with Regulators on periodic submissions and reporting Monitoring Insider Trading compliances Handling Investor grievances Review of Agreements