04 Sep
|
Raghunandan Capital
|
Agra
04 Sep
Raghunandan Capital
Agra
-Ensure compliance with regulatory guidelines issued by SEBI, NSE, BSE, and other regulatory authorities.
-Prepare and submit periodic compliance reports to regulators within defined timelines.
-Maintain statutory registers, records, and compliance documentation.
-Monitor daily compliance activities including client onboarding and KYC verification.
-Ensure adherence to internal policies and regulatory frameworks.
-Coordinate with internal departments for compliance-related requirements.
-Assist in handling regulatory inspections, internal audits, and external audits.
-Monitor compliance alerts and circulars issued by regulatory bodies.
-Maintain records of regulatory filings, licenses, and approvals.
-Track due dates for regulatory submissions and ensure timely completion.
-Assist in drafting compliance policies, SOPs, and procedures.
-Identify compliance risks and recommend corrective actions.
📌 Compliance Executive Agra
🏢 Raghunandan Capital
📍 Agra