Asst. Vice President/Vice President-7to 10 year BFSI

Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials/inspection teams during audits and inspections

Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence.

Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters

Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units.

7-10 yrs Educational Qualifications:

Mid level Total number of employees supervised

2. RESPONSIBILITIES & TASKS: ( Key Responsibilities & tasks carried out by the Position in line with Job Objective )

Managing end-to-end compliances related to merchant banking, broking and other businesses, ensuring adherence to all applicable regulatory requirements.

Managing compliance activities associated with SEBI Prohibition of Insider Trading Regulations, including regulatory filings and internal control mechanisms

Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.

Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.

Dealing with internal auditors, system auditors, SEBI officials and other regulatory/governmental authorities

3. CORE SKILLS & EXPERIENCE REQUIREMENTS ( to help HR meet your Recruitment needs better )

Skills & Experience

Good Analytical abilities

Knowledge of SEBI/Stock Exchanges regulations

Inter personal skills, good & clear communication

Logical & well defined thought process

Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions

Addressing compliance obligations pertaining to the Firm's foreign subsidiaries, ensuring global regulatory alignment and governance