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Compliance Manager

  • Mumbai, Maharashtra, India
  • Permanent
  • Legal & Compliances
  • 5 - 10 years
Job Title:

Compliance Manager

Job Description:

• Implement and manage an effective legal compliance program towards BSE, NSE and SEBI Guidelines, Circulars & Notifications for Broking Industry.
• Implement procedures to comply with regulations of CDSL, NSDL, Depository Participants.
• Develop and review company policies in the above area.
• Handling Client Complaints and issues with respect to regulators, IGRC, etc.
• Handle Arbitration proceedings
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all employees are educated on the latest regulations and processes.
• Resolve employee concerns about legal compliance

Experience Range:

5 - 10 years

Educational Qualifications:

Any graduation,

Job Responsibilities:

• Implement and manage an effective legal compliance program towards BSE, NSE and SEBI Guidelines, Circulars & Notifications for Broking Industry.
• Implement procedures to comply with regulations of CDSL, NSDL, Depository Participants.
• Develop and review company policies in the above area. Knowledge of IGRC procedures.
• Handling Client Complaints and issues with respect to regulators.
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all employees are educated on the latest regulations and processes.
• Resolve employee concerns about legal compliance

Skills Required:

Communication Skill, Good Writing Skills, Compliant Handling, Handling Auditors, General Legal, SEBI Regulations, BSE Rules, NSE Rules,

Annual Salary Range:

INR 9,00,000 - 10,00,000

Candidate Attributes:

• NISM Series 3A Certified is mandatory
• Bachelor’s degree in law, finance, business management or a related field.
• Good knowledge of BSE, NSE, SEBI Regulations, Depository
• 5 – 8 years’ proven experience in a Compliance Officer role.
• Exposure to handling Stock Exchange Audit is necessary.
• Should have handled SEBI Inspection.
• Good knowledge of legal requirements and procedures.
• Good at oral and written communication skills.
• Highly-analytical with strong attention to detail.

Our company is searching for a motivated and experienced Compliance Officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry’s principles

Job Code: KL-TDVTWHAP
About Us
Choice Group is an End-To-End financial services conglomerate, encapsulating the entire range; we have come a long way. Each passing year we keep widening our service portfolio to keep pace with technological progress.

Lateral expansion followed out of a desire to put Financial Freedom within arm’s reach of everyone anywhere. To this end we have offices across India, presence in every major economic center, with business partners spread globally and a diligent team of professionals. We have expedited every complex transaction or any financial assistance that the clients have entrusted us with.

We offer array of specialized, multi-disciplinary professional services in Investment Banking, Management Consultancy, Broking & Distribution, Retail Loans, Audit and Assurance, Taxation, Cross Border Transactions and Compliance Services through our various professionally managed entities.

Website: www.choiceindia.com
Why Us?
The vision of the Choice Group is reciprocally tied with its mission.

“To be the most preferred financial institution providing premium financial service world-wide and consistently delivering quality products and services to our Clients, business partners and society.”

We continue to follow this path unwavering in our focus and unflappable in our determination.