Head of Compliance

People Tree Consultants

Mumbai

On-site

INR 1,200,000 - 1,600,000

Full time

14 days+

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Job summary

A consulting firm in Mumbai is seeking a Head of Compliance to ensure adherence to regulatory standards in capital markets. The role requires a qualified professional, preferably with a B.Com or Company Secretary qualification and experience in broking and capital markets. Responsibilities include managing compliance risks, filing regulatory reports, and interfacing with regulators. The position offers an opportunity to engage with the management and participate in risk management policies.

Qualifications

Candidates with broking and capital market exposure will be preferred.

Responsibilities

Safeguard the Company against Regulatory/Compliance risks.
Monitor filing of all regulatory reports on time.
Assist management in rolling out risk management policies.
Participate in the New Products Committee for compliance input.
Interface with Regulators and handle inspections.
Maintain secretarial books and organize meetings.
Review legal documents and agreements.

Skills

Knowledge of Regulatory Compliance

Risk Management

Communication

Education

B.Com / Company Secretary

Open to other Professional Degrees

Job description

Direct message the job poster from People Tree Consultants

Qualification - B.Com / Company Secretary

Open to other Professional Degrees as well

Responsibilities

To safeguard the Company against Regulatory/Compliance risks in its activities and operations related to BSE, NSE and Metropolitan exchange for cash, F&O segment, debt segment and currency derivative segment.
To monitor and ensure filing of all regulatory reports in time with exchanges/regulators.
To assist the management in rolling out risk management policies and procedures and policies on guidelines issued by Exchanges/SEBI.
To participate in the New Products Committee and provide inputs from Compliance perspective
To interface/interact/co-ordinate with the Regulators on a regular basis and handle BSE/NSE/SEBI inspections/internal audit as well as co-ordinate with other departments for audit/inspection.
To follow and implement Group policies for entity.
To continuously ensure the maintenance of secretarial books and records in accordance with Company Law and organize Board/General meetings/committee meetings.
To review legal documents/agreements

Candidates with broking and capital market exposure will be preferred.

Seniority level