09 Oct
|
Reliance Capital
|
Mumbai Suburban
09 Oct
Reliance Capital
Mumbai Suburban
Key Responsibilities
Regulatory Reporting & Submissions
- Manage periodic filings (Daily, Weekly, Monthly, Quarterly, Half-Yearly,
Annual) with SEBI, NSE, BSE, MCX, and Depositories (CDSL/NSDL).
- Ensure submissions of Net-Worth certificates, Internal Audit, Cyber Audit, System Audit, RBS and surveillance alerts and ATR of respective audit.
- PIT (Prohibition of Insider Trading) Regulations
- Coordinate end-to-end SEBI and Stock Exchange-mandated periodic/special inspections.
- Facilitate internal audits, depository-mandated concurrent/internal audits, and gather data from cross-functional operational teams.
- Draft factual responses/closure reports to inspection observations and track remediation timelines
- Act as a point of contact for routine regulatory correspondence and query resolution
- Mandatory NISM Certifications
- In-depth understanding of SEBI (Stockbrokers) Regulations, PMLA/AML guidelines, and Exchange by-laws
📌 Compliance Manager (Mumbai Suburban)
🏢 Reliance Capital
📍 Mumbai Suburban