Avp Compliance

4 days ago


Mumbai, India Riverforest Connections Full time

Handling Exchange, DP, SEBI and all other regulatory Compliance matters for broking company, DP, Investment Advisory, PMS etc.
- Handling Client Complaints, litigations, Arbitration and Court cases on behalf of Company
- To ensure compliance with various external and internal Rules, Regulations, Policies and Procedures
- Coordination of inspection and audit of Regulatory authorities
- Coordination with Internal Auditors
- Supervision of Surveillance and PMLA Activities

Job location: Lower Parel

Qualification required:

- CA or CS or Law Degree or MBA - Finance

**Skills Required**:
Regulatory Compliance;Court Cases;Litigation;Arbitration;Surveillance;PMLA

**Location**

Mumbai / Mumbai (All Areas)

**Years Of Experience**

5 to 10 Years



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