27 Oct
|
Dhan Saarthi
|
Kolkata
27 Oct
Dhan Saarthi
Kolkata
The Compliance Officer is responsible for ensuring that the Investment Adviser complies with the SEBI (Investment Advisers) Regulations, 2013, and applicable SEBI circulars and guidelines.
Key Responsibilities
- Ensure compliance with all applicable SEBI RIA regulations.
- Monitor client onboarding, KYC, risk profiling, suitability assessment, and investment advisory processes.
- Ensure proper maintenance of client records, agreements, disclosures, and compliance documentation.
- Monitor regulatory reporting, compliance audits, and timely submission of required reports.
- Handle compliance-related grievances and coordinate with SEBI and other relevant authorities.
- Identify compliance gaps, implement corrective actions, and report compliance matters to management.
- Ensure adherence to the prescribed code of conduct, conflict-of-interest requirements, and ethical advisory practices.
📌 Compliance Officer | CA or CS or LLB (Kolkata)
🏢 Dhan Saarthi
📍 Kolkata