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Compliance Advisory

3 weeks ago

Mumbai, India Pplanet HR Services Full time

**- Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
- Liasioning with Exchanges on everyday basis
- Managing Inspections carried out by Exchanges, Depositories and SEBI
- Managing internal audits of Depositories and Exchanges
- Submission of Enhanced supervision data and other Exchange reporting's on a timely manner
- KYC Compliance and monitoring of compliance functions
- Preparation, submission, and uploading Annual return & mis Compliance to the exchanges.
- Timely updating Policies and procedures in line with Exchange guidelines
- Handling internal audits and implementation
- Preparation and submission of MIS and status reports