04 Aug
|
Pplanet HR Services
|
Mumbai
04 Aug
Pplanet HR Services
Mumbai
Job Description:
- Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
- Liasioning with Exchanges on everyday basis
- Managing Inspections carried out by Exchanges, Depositories and SEBI
- Managing internal audits of Depositories and Exchanges
- Submission of Enhanced supervision data and other Exchange reporting's on a timely manner
- KYC Compliance and monitoring of compliance functions
- Preparation, submission, and uploading Annual return & mis Compliance to the exchanges.
- Timely updating Policies and procedures in line with Exchange guidelines
- Handling internal audits and implementation
- Preparation and submission of MIS and status reports
📌 compliance advisory (Mumbai)
🏢 Pplanet HR Services
📍 Mumbai