Compliance

Job Description:

• Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc.
• Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories.
• Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections
• Handling Regulatory Inspections & Internal Audit Independently
• Liaison with Regulators
• Ensuring timely & accurate regulatory submission to exchanges, Depositories, various PMS submission etc.
• Preparing various reports & MIS for Senior Management & Board of Directors