Role & responsibilities
- Managing regulatory audits and inspections
- Managing all regulatory submissions
Responsible for maintaining and improving relationships with local regulators and authorities
- Backup for the Compliance Control function of various activities including CRMS reporting
- Support the effective running of the Compliance department (assistance on reporting/data processes, process improvement, etc.)
- Support the SK Employee trainings
- Disseminating circulars issued by the Regulators, Exchanges and Depositories to the respective departments.
- Tracking of all regulatory implementations at Mirae Asset Sharekhan

Contributing Responsibilities

*Key Interaction with*
- Head of Compliance, India
- Compliance COO teams
- Heads of Compliance of other BNPP entities in India
- Mirae Asset Sharekhan Senior Management/Directors
- Heads of Functions, Business Lines & Operations within Mirae Asset Sharekhan

Preferred candidate profile
- CA with CS or LLB
- At least 8-10 years of relevant work experience with the Stock Broker or regulatory

Interested candidates can share their resumes on [email protected]

📌 Compliance Manager (Mumbai)
🏢 Sharekhan
📍 Mumbai