- Monitor Business Partners' compliance with SEBI guidelines and regulatory requirements.
- Conduct inspections and identify compliance gaps.
- Ensure KYC and regulatory compliance.
- Review and track periodic compliance submissions from Business Partners.
- Prepare MIS reports and handle regulatory reporting.
- Monitor compliance deadlines and follow up with Business Partners.
- Coordinate with SEBI, stock exchanges, and internal departments.
- Review inspection alerts and ensure timely corrective actions.
Required Skills:
- Knowledge of Capital Markets / Financial Services.
- Understanding of SEBI regulations and KYC compliance.
- Experience in Regulatory Compliance, Monitoring, and MIS Reporting.
- Solid coordination and communication skills.