- Conduct internal compliance testing and reviews.
- Implement, monitor, and periodically review the internal Code of Conduct and Insider Trading policies.
- Maintain trading windows and oversee pre-clearance and disclosures of trades by designated persons.
- Ensure timely and accurate filings with SEBI under various regulations including LODR, PIT (Prohibition of Insider Trading), and others.
Conduct training and awareness programs for employees and designated persons on Insider Trading norms and Code of Conduct.Handling of Investor Grievances against the Depository Participants received through Online Dispute Resolution (ODR) including liasoning with case managers and upkeep of data related to conciliation and Arbitration and attending the same. General KRAs:
Maintain up-to-date knowledge of SEBI circulars and notifications relevant to depository operations. Act as a liaison with SEBI and other regulatory authorities for compliance-related matters. Coordinate with internal departments for data collation, report preparation, and compliance implementation. Monitor changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiate implementation. Review and ensure maintaining accurate and up-to-date records of all regulatory correspondences and filings. Drafting and review of all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc. Any other responsibilities for ensuring/adding value to the compliance function which may be entrusted by the company from time to time.
📌 Team Member Compliance Manager (India)
🏢 National Securities Depository
📍 India
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