Associate Director - Compliance (Gift City) with a MNC Institutional Brokerage & Investment Services

Key Areas of Responsibilities : Be responsible for all the GIFT related compliances

• Be responsible for all branch compliances including all GIFT broking compliances, surveillance, monitoring, onboarding, empanelment, audits, inspection, NSE, BSE regulatory enquiries; trade alerts, deal room controls.
• Be responsible for developing and implementing the GIFT branchs compliance programs to ensure adherence to laws, regulations, and internal policies.
• Key duties include overseeing risk assessments, conducting audits, creating and managing policies, leading employee training, and reporting on compliance issues to manager, management and regulatory bodies Ensure employee trade surveillance & NISM certificates are in order.
• Ensure timely compliance with all applicable SEBI& IFSC Regulations (e.g., SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, etc.), circulars, notifications, and guidelines issued by stock exchanges, clearing corporations, depositories and other authorities.
• Establish robust internal control mechanisms and risk management systems to prevent violations. This includes monitoring adherence to rules regarding client onboarding (KYC/AML), algorithmic trading, and handling of Unpublished Price Sensitive Information (UPSI).
• Administer the Code of Conduct under SEBI (Prohibition of Insider Trading) Regulations, 2015.
• Support and coordinate with internal and external auditors, as well as during regulatory inspections.
• Provide compliance training and guidance to employees across various departments in GIFT branch (business, operations, technology) to foster a culture of compliance.
• Keep the Board of Directors, committees, India head of compliance and senior management informed of regulatory developments, their potential impact on business operations, and any material non-compliance issues observed.
• Monitor and ensure the effective handling and resolution of client/investor grievances, potentially through platforms like theSEBI SCORES portal.

Requirements

• Minimum CA, LLB, MBA compulsory.
• Being a Company Secretary is preferable.
• Experienced with GFT stock broking compliances.
• Proficient in English ( written & spoken)
• Team player and in -depth understanding of with stock broking compliances
• Team player, proactive and able to multi task,
• Working with integrity, timeliness and completeness.
• Able to work independently.
• Valid NISM certificate.

Minimum years of experience

8-10 years of experience, as compliance officer and corporate secretary in Stock Broking firm in the Compliance & Corporate Secretarial function