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