Compliance Manager
📍 Mumbai
💼 Experience: 5 - 10 Years
- Reviewing and defining processes for the implementation of various circulars issued by exchanges, depositories, SEBI, etc.
- Day-to-day query handling in relation to the regulatory area of SEBI, exchanges, & depositories.
- Conduction audit/review of various activities for broking, DP, PMS, & branch inspections.
- Handling Regulatory Inspections & Internal Audit.
- Liaison with Regulators.
- Ensuring timely & accurate regulatory submission to exchanges, depositories, various PMS submissions, etc.