Compliance - AM / Manager

Job Role Compliance - AM/Manager

Location: BKC Bandra

Qualification: CS / LLB/M.COM

Experience: Minimum 4-6yrs

• To implement Exchange/SEBI/CDSL circular & guidelines
• Assisting in Handling SEBI / Exchange Inspections & Internal Audit
• Conducting AP and Branch Inspections
• Assisting in any ongoing regulatory matters
• Tracking of the service related communications
• Laison with exchanges/CDSL/SEBI
• Tracking regulatory submissions and assisting in arranging for timely submissions
• Tracking and monitoring of the Survelliance and regulatory alerts
• Review of formats/polices of the company
• Internal audits of different areas as and when identified by Compliance officer, or management
• Broking industry would be preferable, though can look at candidates from Banking with understanding of SEBI regulatoions