Job Title - Head Compliance

Location - Mumbai

Experience - 10 - 20 years

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.

Head of Compliance