Role: Risk Management & Compliance - Other Industry Type: Financial Services (Broking) Department: Risk Management & Compliance Employment Type: Full Time, Permanent Role Category: Risk Management & Compliance 1. Understanding of Peak margin, Quarterly settlement, MTF, CUSPA process to address the queries/alerts from the Exchange. 2. Handling of Audits mandated by NSE and BSE 3.Implement the latest circulars issued by SEBI/Exchanges/Depositories/PFRDA and timely follow up with respective stakeholders to ensure compliance. 4. Compliance Calendar -Preparing and disseminating Compliance calendar to respective stakeholders and ensuring timely Submission. 5. Handling On-site and Off-site Inspections of SEBI/stock exchanges. 6. Overviewing new product launches and assisting the team in building new products and processes. 7. Maintaining Monthly Governance Dashboard and discussing the same with Management. 8. Liasoning with the Exchange and internal teams 9. Additional Compliances like Segment Activation, Software approvals etc.
Job Title
Senior Compliance Operations Manager