Compliance / Sr. Compliance Specialist

Job Description

About Upstox:Upstox (RKSV Securities India Pvt. Ltd.) is one of Indias leading Discount Broking companies which enables investors and traders to trade in Stock Market and Commodities exchange at a fraction of market price with our state-of-the-art trading platform. We are backed by investors such as Mr. Ratan Tata and Kalaari Capital. We are currently one of the three fastest stock broking companies in India, and have the ambition to be the No 1. We have a team of highly skilled technology and finance professionals, and are currently looking for highly motivated field experts to be part of our high-energy team based in Mumbai.Position: Compliance Specialist and Senior Compliance SpecialistAbout Team:Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws , rules , regulations and guidelines, designs and implements controls, policies , procedure , conducts surveillance , monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries.We are looking for who possess sound judgment, adaptable to changing regulatory landscape . You will be part of a team with members from a wide range of academic and professional background.Job Responsibilities:1. Partner with Line Compliance to develop and/or enhance Programmatic Reviews and associated reviews.2. Monitor review are being performed properly from a qualitative and timelines perspective.3. Discuss reviews with Line Compliance4. Identify enhancement to existing review procedure based on results of previous review of changing risk profile of business5. Coordinate issues ,finding and practices, Implementing, monitoring and adherence to compliances related to SEBI, Exchanges and depositories.6. Participating in the planning , executing and reporting of compliance assurance reviews an compliance and regulatory issue validation activities for a component of policy line & function7. Liasioning with the Exchanges8. Managing Inspections carried out by exchanges, depositories and SEBI9. Managing internal audits related to depositories and Exchanges10. Submission of Enhanced supervision data11. Periodic filings to Exchanges12. Seeking regulatory approvals for advertisements etc13. KYC Compliances and monitoring14. Preparation, submission, and uploading Annual return & Compliance to the exchanges.15. Handling investors complaints16. Controls testing , preparing policies, procedures for compliance17. Evaluating new regulatory guidelines and implementation18. Handling internal audits and implementation19. Preparation and submission of MIS and status reports20. Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.21. Presenting case before IGRP22. Submission of data and addressing various regulatory queries in time bound manner.Experience Required: 3 - 8 Years of relevant experience in similar Industry.Skills and Qualifications Required:1. CA/CS2. Excellent Communications & Analytical skills.3. Person should be well versed in English.4. Good Understanding of the capital market rules and regulations, circulars etc.5. Managing Inspection and Internal audit related to compliance.6. Inquisitive and proactive in identifying risks and proposing solutions.7. Experience in working with compliance team at Institution level.8. Adaptable to change and working with fast pace of growing organization.,

Keyskills :
complianceformsadministrative supportanalysisbankingstock marketstock brokingannual returninternal auditcapital marketreputational riskregulatory approvalscompliance assuranceregulatory guidelines