avp - compliance in mumbai

Core Purpose of the Role :  Manage Compliance aspects of Investment Banking & Broking  Ensure all regulatory submissions / filing are done in time and record ismaintained  All relevant policies are regularly updated and ensure compliance thereof  Ensure new circulars released by regulators are reviewed, discussed andimplemented (Guide various teams, make plan and ensure implementation)  Responsible for Managing Initial Public issues / Buy backs / Valuations /Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers,legal, exchanges etc)  Ensure that all Merchant banking & Broking transactions are executed asper regulatory guidelines and within timelines  Manage relationships with regulators and assist with the Company's responseto regulatory inspection / observations  Assist in various compliance matters / opinions in day to day activities,Review of various documents  Ensure timely completion of inspections  Managing customer (internal) queries in a timely manner to resolvegrievances  Regular updates / training to employees related to compliance, AML, InsiderTrading etc  Review of surveillance alerts and action on the same

compliance

LLB