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.
• Should have knowledge of process of SLBM and MTF
• AP Manangement
• Candidate should have working knowledge of RMS, trading processes and DP Operations.