Senior Executive

2 weeks ago

Mumbai, India Ambit Private Limited Full time

We are scouting for compliance and legal talent who will be responsible for all kinds of compliance relating to Broking, Depository/Research Analysts/PMS. Liaison with SEBI, Exchange and Depository.


  • Dissemination of important regularly circulars to relevant stakeholders. Educating and conducting periodical training on regulatory guidelines.
  • Assisting in handling Inspection, Internal Audit, System Audit and Cyber Security Audit for SEBI, Exchange & Depository inspection.
  • Review of various policies of the Organization and vetting regulatory communication from compliance perspective.
  • Submitting timely documents to regulator which includes Weekly, Monthly, Quarterly, Half Yearly and Yearly Submissions to SEBI/Exchanges/Depository and sending monthly updates to the senior management on submission of documents.
  • Responsible for all compliance initiatives within the department including implementation of Compliance Policies / procedures, to discharge all obligations under Anti-money laundering laws and rules, Employee ethical policies, guardian of code of conduct & employee trading policies.
  • Managing and approving trades of employees and presenting it to the Board from time to time. Assisting the reporting manager in discharging surveillance activities.
  • Ability to handle the multiple assignments in a timely and efficient manner.
  • Maintain daily and weekly MIS and tracker as required.


Key Stakeholders:

  • Senior Management
  • Department Heads
  • SEBI, Depository, Stock Exchanges, etc.
  • Other departments, etc.


Experience & Qualifications:

  • MBA/LL.B/CS
  • Minimum 2-3 years of work experience in reputed organizations.
  • Good understanding of Regulatory and Legal affairs of SEBI compliances.
  • Excellent English verbal and drafting communication skills.


Interested applicants can send their resumes on samidha.nawathye@ambit.co with the subject as “Senior Executive / Assistant Manager - Compliance & Legal”

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