Compliance- Retail Broking
📍 Mumbai
💼 Experience: 15+ Years
- Managed RBI Compliances: Oversaw periodic RBI compliance requirements for an NBFC, including monthly, quarterly, and annual regulatory filings.
- RBI Approvals: Successfully handled the process of obtaining prior approval from the RBI for changes in shareholding/investment in an NBFC.
- Policy Drafting for Clearing Corporation: Drafted key governance and compliance policies including Risk Management, Anti-Money Laundering, and Insider Trading for a Clearing Corporation entity.
- Exchange Approvals: Facilitated prior approvals from stock exchanges (NSE, BSE, MCX) for the appointment of designated directors.
- Board & Committee Meetings: Prepared agendas, notices, and supporting material for Board and Committee Meetings.