AVP - Business Regulatory at Mumbai for Broking firm

Job Description:

AVP – Business Regulatory will be instrumental in implementation of first Line Of Defense( LoD1) controls
and proceses in line with the regulatory as well as internal requirements, providing advise and guidance to
stakeholder departments/functions in complying with such controls, ensuring implementation of regulatory,
internal and Group requirements from a compliance oerosrective as applicable to a Full Service Stock
Broker /PMS/DP.

Direct Responsibilities
Responsible for implementation of LoD 1 controls, Regulatory Circulars ,guidelines , directives , advisories
etc, identification and mitigation of compliance gaps , adequate oversight over data quality while sharing the
same with regulators/auditors, handling CTCL team, placement of regulatory happenings and developments
along with required solutions before the management in conjunction with the HoD
LoD1 functional regulatory supervision and implementation
SPOC for Regulatory data supervision, implementation of regulatory and Group LoD 1 requirements,
collaboration with LoD2 and LoD3 functions appropriately to implement, validate and ensure continued
compliance from a business regulatory perspective

Contributing Responsibilities
• Continuous execution of the tasks above.
• Management and engagement of the functional staff.
• Reporting to Head – Business Protection & Control on the regulatory updates and necessary
resolutions.
Technical & Behavioural Competencies
• Advanced knowledge in compliance and control related processes, Liaoning with Regulatory
auditors and Inspections.
• Understanding of processes and procedures as applicable to Full Service
Stockbrokers/PMS/DP/Commodities business.
• Excellent communication, presentation, interpersonal and Leadership skills.

Desired Profile / Criteria / Skills :

PG /Professionally qualified
2. Certification in NISM and/or other relevant industry certifications
3. Relevant work experience of around 10 years or more in Capital Market preferably in Compliance,
Risk Management or Audit functions