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.

📌 Compliance & Dp Operations Head Ahmedabad
🏢 Investmentor Securities
📍 Ahmedabad