Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL, and other applicable regulatory guidelines.
Prepare and submit regulatory reports, returns, and disclosures within prescribed timelines.
Monitor compliance with circulars, notifications, and regulatory updates issued by exchanges and regulators.
Coordinate and support internal, statutory, exchange, and regulatory audits.
Maintain statutory registers, compliance records, and documentation.
Track regulatory changes and assist in implementing current compliance requirements across the organization.
Assist in responding to queries, inspections, and notices from regulatory authorities.
Review client onboarding and KYC processes to ensure regulatory compliance.
Support the Compliance Officer in daily compliance activities and regulatory projects.
Prepare MIS reports and compliance dashboards for management.
Coordinate with internal departments to ensure timely closure of compliance observations.
Prepare and review trading circulars.

📌 Manager Regulatory Compliance Cs Qualified Mumbai
🏢 Motilal Oswal Financial Services (MOFSL)
📍 Mumbai