Head - Exchange Compliance - Delhi/NCR,Mumbai
- Leading Financial
- 15 - 22 years
- Delhi, NCR
- 2 months ago
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Job Description
**Job Summary:**
The Exchange Compliance Head will be responsible for overseeing and ensuring the compliance of stock broking operations of company with the rules and regulations set forth by the relevant stock exchanges. This role involves developing, implementing, and maintaining a robust compliance framework to safeguard the company's operations and maintain a high level of integrity in all dealings with regulatory bodies.**Key Responsibilities:**
1. **Regulatory Compliance:**
- Stay abreast of regulatory changes, guidelines, and updates from relevant stock exchanges.
- Interpret and communicate regulatory requirements to internal stakeholders.
- Design and implement policies and procedures to ensure compliance with exchange regulations.2. **Risk Management:**
- Identify and assess potential compliance risks associated with stock broking activities.
- Develop and implement risk mitigation strategies to safeguard the company's interests.
- Conduct regular risk assessments and internal audits to identify areas of improvement.3. **Documentation and Reporting:**
- Maintain accurate and up-to-date records of compliance-related activities.
- Prepare and submit regulatory reports and filings in a timely and accurate manner.
- Coordinate with internal teams to ensure the completeness and accuracy of required documentation.
- Reply the query or complains.4. **Training and Education:**
- Conduct regular training sessions for employees to enhance awareness of compliance policies and procedures.
- Provide guidance and support to teams to ensure adherence to regulatory requirements.5. **Collaboration:**
- Collaborate with internal departments, including Legal, Operations, and Risk Management, to address compliance-related issues.
- Foster positive relationships with regulatory authorities and stock exchange representatives.**Qualifications and Experience:**
- Bachelor's degree in Finance, Law, Business, or a related field. Advanced degrees or professional certifications (e.g., CA and CS, etc.) are pre-requisite.
- Minimum of 15 years of experience in a similar role within the stock broking industry.
- In-depth knowledge of stock exchange regulations and financial market operations.
- Strong analytical, communication, and leadership skills.
- Age max- 45 yrs.
Job Classification
Industry: Financial Services (Broking)Functional Area: Financial Services (Broking)
Role Category: Corporate Affairs
Role: Regulatory Affairs Compliance
Employement Type: Full time
Contact Details:
Company: A leading financialLocation(s): Delhi, NCR
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Leading Financial
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