Roles & Responsibilities

- Ensure compliance with applicable SEBI, NSE, BSE and other regulatory requirements.
- Monitor and review daily regulatory and exchange circulars.
- Identify applicable regulatory changes and coordinate timely implementation.
- Maintain and monitor the compliance calendar and regulatory deadlines.
- Prepare and submit required regulatory reports, returns and filings.
- Maintain proper compliance records, registers and supporting documentation.
- Coordinate with internal teams to ensure adherence to regulatory requirements.
- Coordinate with exchanges, auditors and regulatory authorities for compliance matters.
- Assist in internal audits, exchange inspections, DP audits and regulatory inspections.
- Track audit observations and ensure timely corrective action and closure.
- Monitor KYC, CKYC, KRA, AML and PMLA compliance requirements.
- Handle and coordinate investor/client grievances and ensure timely resolution.
- Prepare regular compliance MIS and management reports.
- Ensure proper documentation and evidence of compliance activities.
- Must have knowldge of SLBM and MTF
- Ap Management
- Candidate should have working knowledge of RMS, trading processes and DP Operations.

📌 Compliance and DP operation head (Ahmedabad)
🏢 InvestMentor Securities
📍 Ahmedabad