2.0 - 4.0 years

2 - 4 Lacs

Mumbai, Maharashtra, India

On-site

Key Deliverables / Accountabilities Review and disseminate various circulars issued by Exchanges, Depositories, SEBI, etc. and define processes for implementation. Conduct continuous test checks to ensure compliance with the regulatory requirements. Day to day query handling in relation to regulatory area of SEBI, exchanges and depositories Handling Process Audit Liaison with Regulators on various regulatory matters Ensuring timely and accurate regulatory submissions to exchanges, Depositories, various PMS submissions, etc. Management and approvals of Marketing Approvals (Internal and Exchange) Preparing various reports & MIS for senior Management & Board of Directors. Managing approvals of various client communications prepared by internal stakeholders. Competencies Required: Self-starter Team player Multitask Result Orientation Team handling and supervising Essential Educational & Experience Qualification Qualification Needed: A Chartered Accountant with at-least 2 years of post-qualification experience in compliance Department of Stock Broking industry. Relevant Experience : At least 2 years Experience

Posted 4 weeks ago

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