Regulatory & Compliance Executive (Sebi / Exchange)

Experience - 4 to 7 Years **Regulatory Compliance & Inspection - JD** **Key Responsibilities**: - Prepare regulatory reports for SEBI and RBI - Maintain compliance reporting calendars (monthly/quarterly/annual) - Implement and track new regulatory circulars (SEBI/RBI) - Coordinate with departments for timely data collation - Prepare and submit inspection...

**Location**: Mumbai **Qualification Profile**: Post-graduate **Experience**: Minimum 15 Years of relevant experience in management positions. Must be sound in people Management and Leadership Skills. Also, must have strong communication skills **Responsibilities**: - Ensuring overall compliances relating to the relevant provisions of the SECC...

Job Description:Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.Manage all operational processes as per regulatory framework to ensure exchange compliance.Facilitate preparation & timely submission of various forms, reports, and other...

The expectation and primary accountability of the position in the Compliance Department is to monitor, understand, interpret and guide business teams regarding new regulations emanating from financial services and capital market regulators (such as SEBI, NPCI, NSDL, CDSL etc.).To monitor new regulations as and when they arise, and to promptly circulate these...

**Key Responsibilities** - Ensure compliance with **Companies Act**, **SEBI (LODR)**, and other applicable laws - Organize and document **Board and Committee meetings**, including agenda preparation and minutes - File statutory forms and returns with **ROC, SEBI, Stock Exchanges**, and other regulatory bodies - Provide secretarial support to the **Board of...

Role & responsibilitiesRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices,   and adjudicating...

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...

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...

Look into and resolve investor grievances/complaints - Address legal and arbitration cases - Manage operational and regulatory compliance - Quarterly Settlement of all clients - Ensure proper compliance under the SEBI act, SCRA, Rules and Regulations & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai, and circulars issued by...

Role & responsibilitiesManaging Teams handling SEBI-SCORES / ODR ComplaintsData Maintenace of complaints received from SEBI/Exchanges/DepositoriesHandling Audit & Inspections from SEBI/Exchanges/Depositories time to timeCo-ordinate with internal stakeholders & regulators for complaint resolutionAdherence of all monthly quarterly regulatory submissionsAlign...