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 (India)
🏢 Reliance Capital
📍 India
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