
Senior Compliance Professional
2 weeks ago
The role of Compliance Manager is pivotal in ensuring organizational compliance with all relevant laws, regulations, and industry standards.
Key Responsibilities:
- Develop a comprehensive understanding of the Peak margin, Quarterly settlement, MTF, CUSPA process to effectively address queries/alerts from the Exchange.
- Lead audits mandated by NSE and BSE, ensuring seamless execution.
- Implement the latest circulars issued by SEBI/Exchanges/Depositories/PFRDA and conduct timely follow-up with stakeholders to ensure compliance adherence.
- Prepare and disseminate a Compliance calendar to stakeholders, ensuring timely submissions.
- Coordinate on-site and off-site inspections of SEBI/stock exchanges, fostering a culture of transparency.
- Oversee new product launches and assist the team in building new products and processes, driving business growth.
- Maintain a Monthly Governance Dashboard, facilitating strategic discussions with Management.
- Liaise with the Exchange and internal teams, promoting cross-functional collaboration.
- Ensure additional compliances like Segment Activation, Software approvals are executed efficiently.
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Senior Compliance Professional
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2 weeks ago
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