Key Responsibilities:
- Regulatory Compliance Management:
- Oversee and manage the company's compliance with local and international regulatory requirements (e.g., SEBI, RBI, AMFI, etc.).
- Monitor changes in the regulatory workplace and ensure the business adapts accordingly.
- Conduct periodic reviews to ensure all processes and activities align with the latest regulatory guidelines.
Risk Management:
- Assess risks associated with the company’s operations in the capital markets and stock broking sector.
- Implement and monitor risk mitigation strategies to ensure compliance with risk management protocols.
- Prepare risk reports and analysis for senior management.
Compliance Reporting:
- Develop and deliver regular compliance reports for senior management and regulatory authorities.
- Assist in preparing audits and reports for external regulatory bodies.
- Ensure all necessary regulatory filings are submitted in a timely manner.
and controls to mitigate risk and ensure regulatory compliance.
- Conduct training for employees to ensure they understand and adhere to compliance requirements.
Sippy Software Utilization:
- Utilize Sippy Software to track and manage compliance activities, such as trade monitoring, transaction surveillance, and reporting.
- Work closely with the IT and Operations teams to ensure Shilpi Software is used effectively for compliance tracking and reporting.
- Troubleshoot and support software-related compliance issues to ensure accurate and seamless operations.
Internal Audits & Investigations:
- Lead or support internal audits to evaluate the company’s adherence to compliance standards.
- Investigate and resolve compliance breaches or concerns, providing recommendations for corrective actions.
Client and Stakeholder Engagement:
- Serve as the primary point of contact for regulatory authorities, external auditors,