Asst. Vice President/Vice President -7-10

Mangalam Placement Pvt Ltd.; Mumbai; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Mangalam Placement Pvt Ltd. is seeking a senior compliance professional to coordinate with internal auditors and SEBI officials, preparing reports for regulatory bodies and stock exchanges, and ensuring firm-wide regulatory alignment.

The role focuses on updating compliance processes, drafting regulatory documents, and managing licenses for new ventures, with attention to governance across foreign subsidiaries.

Qualifications

• Good analytical abilities and understanding of SEBI/Stock Exchanges regulations.
• Interpersonal skills with clear communication for regulatory coordination.
• Experience managing licenses and registrations from regulators for new initiatives.
• Experience ensuring global regulatory alignment for subsidiaries.

Responsibilities

• Coordinate with internal auditors, cybersecurity/system auditors, SEBI officials during audits.
• Prepare and submit periodic reports to regulatory bodies and stock exchanges.
• Engage regulators to address compliance-related matters and ensure governance.
• Review and update compliance processes across business units.
• Draft, review, and negotiate regulatory documents and policies.

Skills

Analytical abilities

SEBI regulations

Interpersonal skills

Regulatory communication

Regulatory governance

Regulatory filings

Job description

Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials/inspection teams during audits and inspections Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence. Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units. 7-10 yrs Educational Qualifications: Mid level Total number of employees supervised 2.

RESPONSIBILITIES & TASKS

( Key Responsibilities & tasks carried out by the Position in line with Job Objective )

• Managing end-to-end compliances related to merchant banking, broking and other businesses, ensuring adherence to all applicable regulatory requirements.
• Managing compliance activities associated with SEBI Prohibition of Insider Trading Regulations, including regulatory filings and internal control mechanisms
• Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
• Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.
• Dealing with internal auditors, system auditors, SEBI officials and other regulatory/governmental authorities

CORE SKILLS & EXPERIENCE REQUIREMENTS

( to help HR meet your Recruitment needs better )

Skills & Experience

• Good Analytical abilities
• Knowledge of SEBI/Stock Exchanges regulations
• Inter personal skills, good & clear communication
• Logical & well defined thought process
• Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions
• Addressing compliance obligations pertaining to the Firm’s foreign subsidiaries, ensuring global regulatory alignment and governance