JOB DESCRIPTION

COMPANY NAME Anand Rathi Shares & Stock Broking Ltd.

DESIGNATION Head – Compliance

LOCATION Mumbai

ABOUT THE COMPANY

Anand Rathi Group:

Anand Rathi is a leading full-service investment bank founded in 1994 offering a wide range of financial services and
wealth management solutions to institutions, corporations, high–net worth individuals, and families. The firm has rapidly
expanded its footprint to over 1200 locations across India with an international presence in Hong Kong, Dubai &
London. Founded by Mr. Anand Rathi and Mr. Pradeep Gupta, the group today employs over 2,500 professionals
throughout India and its international offices.

Anand Rathi Shares & Stock Broking Ltd.:

ARSSBL is a part of the Anand Rathi group and has been operational in the broking industry for over two decades. It
is led Mr. Pradeep Gupta, the co-founder of Anand Rahi Group. Mr. Roop Bhootra is the Chief Executive Officer of the
investment services arm and Mr. Vishal Laddha is the Chief Executive Officer of the institutional equity arm of the
company, both having over 25 years of experience in this industry.

ARSSBL is a trading member of various stock exchanges like NSE, BSE, MCX etc. It has a basket of diversified
products being offered which includes broking services in all segments (equity, derivatives, commodities and currency),
lending in the form of Margin trade funding (MTF), third-party financial products distribution (insurance, mutual fund,
bonds, corporate fixed deposits, IPO, etc) and portfolio management services.

During FY22, the total revenue of the company grew by 40% to ₹424 crore mainly driven by brokerage income, interest
on margin funding book and revenue through distribution of third-party financial products. The company’s operations
have been reporting an upward trend in profitability with profit after tax (PAT) being at ₹6 crore in FY19 which has
increased to ₹51.19 crore in FY22.

The total active client base of the company grew by 21% in FY22 and stood at 1,14,694. The company has been
witnessing year on year improvement in the average daily turnover (ADTO) being traded and FY22 saw a substantial
growth of 188% with ADTO of ₹32,481 crore.

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 Objective of the Role:
The Compliance Head is responsible for the overall compliance framework in ARSSBL including advisory, regulatory
interactions, training, monitoring and surveillance, policies and procedures, oversight and leadership.

KRA’s:

 Advice: Provide senior management and staff with guidance on compliance procedures and legal requirements
for all company endeavours.
 Escalation and Communication: To ensure that senior management and stakeholders are updated about
regulatory changes or business challenges, maintain excellent working ties with them.
 Monitoring of compliance: Make sure the compliance structure complies with regulatory requirements, including
by establishing suitable policies and processes, providing training, and identifying risk areas so that independent
compliance evaluations and monitoring may be carried out.
 Interaction with regulations: Maintain ties with India’s leading regulatory bodies including the SEBI, AMFI,
NSE/BSE, MCX and NCDEX and see to it that there is open and fruitful dialogue.
 Showcasing excellence in scrutinizing and reviewing:
 Policies & Processes,
 Internal Controls,
 MIS, KYC, Risk, Billing, Client Servicing
 Surveillance, Legal, Compliance, Accounts, New Product, etc.
 Regulatory examinations and enquiries: Organize regulatory inspections and questions and serve as the
primary point of contact.
 Fresh business endeavours: Evaluate new company initiatives from a legal, business, and best practise
viewpoint, and give stakeholders implementation advice.
 Coordination of compliance efforts: Support regional Compliance activities and programmes while coordinating
with stakeholders onshore and offshore.
 Direction: Mentor young team members in the daily compliance job.
 Compliance Culture: Build an Institutionalised culture towards regulatory compliance by effectively collaborating
with key stakeholders and establishing strong systems and processes.

REPORTING RELATIONSHIPS
FUNCTIONAL Roop Bhoothra, CEO
ADMINISTRATIVE Roop Bhoothra, CEO

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 DESIRED SOFT SKILLS

 Ownership and high on integrity

 Excellent interpersonal skills
 Balanced individual
 Problem solving attitude
 Critical Thinking and Analysis
 Tenacity and Ethics
 Calm when faced with difficult situations
 Sharp Business Acumen

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