Sebi Compliance Officer

Job Description Regulatory Compliance Monitoring Assist in monitoring compliance with SEBI Mutual Fund Regulations, ensuring timely reporting by the Mutual Fund and AMC, including exception handling and escalation to SEBI, the Board of AMC, and Trustees. Reporting to Regulators and Stakeholders Ensure timely submission of periodical reports to SEBI,...

Job Responsibilities 1. Daily broker SEBI compliance management. 2. CDSL/NSDL Pay in and Pay out 3. Clearing house and depository experience 4. PMS handling MUST HAVE ATLEAST 8-10 YEARS EXPERIENCE IN THIS FIELD. IDEALLY SHOULD BE WORKING AT A BROKING HOUSE. **Salary**: ₹14,678.31 - ₹40,000.00 per month Schedule: - Day shift - Fixed shift Ability...

Job DescriptionRegulatory Compliance MonitoringAssist in monitoring compliance with SEBI Mutual Fund Regulations, ensuring timely reporting by the Mutual Fund and AMC, including exception handling and escalation to SEBI, the Board of AMC, and Trustees.Reporting to Regulators and StakeholdersEnsure timely submission of periodical reports to SEBI, AMFI, Board...

**AMIN Compliance - SEBI (Mutual Funds)**: - From 5 to 7 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** This position requires at least about 5-7 years of experience in asset management compliances and reasonable understanding of the regulatory framework applicable to asset management businesses in India...

Opportunity to work with a leading stock broking firm in **Mumbai, Andheri East**. **Experience Required**: - **5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)** - Proven track record of managing regulatory compliance and dealing with SEBI...

**TITLE: Compliance Officer** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company affairs. - Provide legal and compliance perspectives to the...

Co-ordination with SEBI, on behalf of Regulatory Function of NSDLEnsure timely submission of a response of query received from SEBI or data to SEBI from regulatory departmentCo-ordinate with stakeholders to ensure availability of the data in timeline to the unit for further submission to SEBIMaintaining the register / MIS to track queries or requirement...

Job Title: Compliance Officer - Mutual Fund Compliance Location**:Mumbai (on-site: Andheri/Belapur)** Experience**:3+ years in Mutual Fund compliance** Job Summary: We are currently looking for compliance professionals with a graduation degree **from AMC, financial or NBFC industry **with **minimum 3 years of experience in Mutual Fund compliance.** Roles...

ob Title: Compliance Officer Company Name - CapitalSquare Financial Services Private Limited Location: Mumbai Reporting To: Compliance Head / Senior Management About the Company: CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading...

Position: Compliance OfficerLocation: MumbaiExperience: Company Secretary 3–4 years post-qualificationReporting to: CEORole OverviewWe are looking for a qualified and motivated Company Secretary with 3–4 years of post-qualification experience to lead and manage the compliance function of our firm. The role includes ensuring compliance with SEBI...