Compliance Manager (institution broking)

Responsibilities

• Hands on experience of Research Regulation and instituion broking
• Prior experience of SEBI/SEs' inspection
• Independently handle SEBI/SE queries relating Research and Broking business (transaction related)
• Updating business team on regulatory circulars and implementing the same
• Monitoring NISM certification for Research Team
• Coordinating with Regulators on periodic submissions and reporting
• Monitoring Insider Trading compliances
• Handling Investor grievances
• Review of Agreements