Regulatory & Compliance Executive (Sebi / Exchange)

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 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...

Regulatory Compliance Officer **Principal Responsibilities** - This role is heavily focused on regulatory compliance, trade monitoring and surveillance, SEBI rules & regulations. - Advise on a full range of compliance and regulatory issues associated with Millennium’s growing research business in India and offshore FPI investing into India, working...

**About Company**: A prominent and established player in the financial services sector, this organization specializes in stock broking and related financial solutions. With a strong focus on trust, transparency, and client-centric service, the company has built a solid reputation in the industry. It is committed to innovation and excellence, creating a...

Compliance SpecialistJob Description:As a key member of our team, the Compliance Specialist will be responsible for ensuring that our organization adheres to all relevant regulatory requirements and industry standards. This includes developing and implementing compliance plans, monitoring policies and procedures, and responding to regulator...

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...

Rikhav Securities ltd. is a Listed company in BSE, we are a stock broking firm since 2006. we are looking for the experience compliance officer from the Stock Broking Firm. - Responsible for regulatory compliance in a stockbroking business and regulatory audit - assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. - Manage all...

Compliance Manager PositionWe are seeking a highly skilled and experienced Compliance Manager to join our team. The ideal candidate will have a minimum of 10 years of experience in compliance and corporate governance, adhering to all statutory, regulatory, and internal governance standards.Corporate Governance & Board Support: Advise the board of directors...

Job Title: Regulatory Compliance SpecialistOverview:The incumbent for this role will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with regulations, stock exchange requirements, and internal frameworks. The role includes advising front-office personnel, monitoring trading activities,...

Regulatory Compliance SpecialistThis role involves ensuring that our organization complies with all relevant laws and regulations.Responsibilities:Compliance with Companies Act, 2013, SEBI (LODR) Regulations, Secretarial Standards, and other applicable laws.Filing of returns and reports with regulatory bodies.Ensuring compliance with SEBI Listing...