Manager - Broking Compliance

The Manager Broking Compliance will be responsible for overseeing stock broking compliance activities, ensuring timely regulatory reporting, implementing regulatory changes, and providing compliance support to the broking business. The role involves close coordination with regulators, exchanges, clearing corporations, and internal stakeholders to maintain a robust compliance framework and effectively manage regulatory risks.

Experience: 5 to 7 years

Job Role:

. Regulatory Compliance & Reporting

• Manage and support the Stock Broking Compliance team to ensure timely and accurate regulatory reporting.
• Implement and monitor compliance with SEBI, Stock Exchange, and Qualified Stock Broker (QSB) requirements.
• Review and update broking policies and procedures in line with evolving regulations.

2. Regulatory Coordination & Inspections

• Coordinate wi...