Details of the Organization

Tipsons, founded in 1993, registered with SEBI, having membership & Association with 6 National Level Exchanges & Access to Majority International Exchanges, is India’s premier financial conglomerate.

Details of the Job/Internship

Tipsons is hiring a compliance head to join them in Ahmedabad office. 

Role and Responsibilities

• Provide leadership and direction to the compliance team, fostering a culture of ethical conduct and regulatory adherence.
• Ensure accurate and timely exchange reporting (Daily, Weekly, Monthly).
• Handle client grievances efficiently.
• Lead internal and external audits, as well as regulatory inspections by SEBI, exchanges, and depositories.
• Coordinate audit processes, address audit queries, and ensure compliance with audit requirements.
• Draft responses to observations and queries raised by exchanges and SEBI, ensuring compliance with regulatory guidelines and timely feedback.
• Stay updated with the latest regulatory developments and changes impacting the stock broking industry.
• Implement updates to internal compliance policies and procedures as per regulatory requirements.
• Identify compliance risks and proactively implement measures to mitigate risks effectively.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

State

Gujarat

City

Ahmedabad

Address

Ahmedabad, Gujarat

Application and Registration Details

After you apply, you will receive the next steps of the application process via email. 

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For any questions or concerns, please contact us via email at: [email protected].