Fwd: Job Opening at LKP Securities Ltd -Complaince

[Deepali Sharma]

Fyi

---------- Forwarded message ----------
From: "Rashmi Gavas" <rashmi...@lkpsec.com>
Date: 15 Apr 2015 15:29
Subject: Job Opening at LKP Securities Ltd -Complaince
To: <csde...@gmail.com>
Cc:

Dear Deepali ,

 

As discussed  we have an Opening in compliance department .please find the Job description for the same, please circulate thru your contacts .

 

Designation	Manger - Compliance in Stock Broking Industry
Job Description	Job Location: Nariman Point   Role and Responsibility: The role would require the candidate to take up independent responsibility for process compliance. Review compliance reports in accordance to SEBI regulations. Handle all regulatory Submissions. Draft policies and disclosures. Interact and coordinate with internal stakeholders and business unit, the role also requires to maintain a strong connect with the exchanges.   Key Tasks : Draft disclosures and policies, addendums and public notices. Filing of Quarterly and Monthly report in RBI. Update disclosure documents and statement of Additional Information and uploading on website / AMFI portal. Draft various correspondences to SEBI, NSDL, CDSL AMFI, RBI, NSE, BSE Prepare SAST reporting under SEBI (Substantial Acquisitions and Takeovers) Regulations, 1997 and SEBI (Prohibition of Insider Trading Regulations), 1992 and reporting the same to Stock Exchanges and acquired companies. Regularly audit reports. Ensure implementation of all rules regulations, IRDA Insurance, AMFI Mutual fund and SEBI. Monitor adherence to written policies and procedures. Ensure internal controls are in place. Co-ordinate regular filings with the respective regulators. Regularly correspond with all regulatory bodies. Engage with internal and statutory auditors and practicing company secretary.
Desired Profile	Post qualification 5 years of experience in Broking and PMS. A rapport with exchange/regulatory authorities and well-grounded knowledge of domestic law for a financial entity is a must have. Should be able to effectively and independently interpret law, rules and regulations.   Academic qualification in MBA , CA Law and or CS. AMFI, NCFM and NISM certification shall be added advantage.   Required skill set: Excellent communication skills in English. A keen eye for detail and orientation towards organization and process improvement. Comfortable with independent learning and executing tasks at hand. Sharp analytical skills to review, identify gaps and report.
Experience	5 - 8 Years
Industry Type	Banking / Financial Services / Broking
Role	Legal Manager
Functional Area	Financial Services, Banking, Investments, Insurance
Education	UG - Any Graduate - Any Specialization PG - CS, CA, LLM - Law, MBA/PGDM - Any Specialization Doctorate - Any Doctorate - Any Specialization, Doctorate Not Required

 

 

Rashmi Gavas · Asst.Manager – HR

 

LKP · 13th Floor, Raheja Centre, Free Press Journal Marg, Nariman Point, Mumbai:400021 
  
Tel +91 22 66351332 · Email : rashmi...@lkpsec.com

 

Website: www.lkpsec.com