
Manager / Senior Manager- Compliance- SEBI Data
2 weeks ago
- Co-ordination with SEBI, on behalf of Regulatory Function of NSDL
- Ensure timely submission of a response of query received from SEBI or data to SEBI from regulatory department
- Co-ordinate with stakeholders to ensure availability of the data in timeline to the unit for further submission to SEBI
- Maintaining the register / MIS to track queries or requirement received from SEBI to regulatory department which includes Surveillance, IG, Inspection, Secretariat, DP Admission, issuer admission, Investor Protection
- Responding to SEBI email
- Attending SEBI meeting on behalf of regulatory function
- Informing senior management regarding completion status
- Knowledge of demat account and related transactions
- Knowledge of PMLA compliance
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SEBI Compliances
5 days ago
Mumbai, Maharashtra, India Green Clover Full timeJob 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...
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Senior Compliance Manager
7 days ago
Mumbai, Maharashtra, India YES SECURITIES Full time ₹ 15,00,000 - ₹ 20,00,000 per yearAbout YES Securities (India) LimitedYES Securities (India) Limited is a forward-looking financial services provider, grounded in customer-centricity, technological innovation, and regulatory excellence. We provide secure, compliant trading and investment solutions for a diverse client base.Position SummaryThe Compliance Manager will be responsible for...
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Compliance Manager
7 days ago
Mumbai, Maharashtra, India Intellectual Capital Hr Consulting Full time ₹ 1,04,000 - ₹ 1,30,878 per yearRole & responsibilitiesPosition: Compliance ManagerRoles and Responsibilities :MonitoringThe 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 noticesThe compliance officer responds to surveillance notices, show cause...
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Compliance Manager
1 week ago
Mumbai, Maharashtra, India ABCD Aditya Birla Capital Digital Full time ₹ 9,00,000 - ₹ 12,00,000 per yearOrganizational ContextABC Digital has been incorporated as a wholly owned subsidiary of Aditya Birla Capital in 2023 to engage in distribution of Aditya Birla Capital products and providing services to customers, including web-based services, e-commerce, and payments facilities and allied activities. ABC Digital is developing an omni-channel based D2C...
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Institutional Equities – Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full timeJob SummaryThe incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks . The role includes advising front-office personnel, monitoring trading activities,...
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Senior Manager-Secretarial and Compliance
2 weeks ago
Mumbai, Maharashtra, India Vahura Full timeOur client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their 𝗠𝘂𝗺𝗯𝗮𝗶 office.An ideal candidate should have a PQE of 𝟱-𝟳 𝘆𝗲𝗮𝗿𝘀 and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances.Prior experience of working with an NBFC or a debt...
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Senior Manager-Secretarial and Compliance
2 weeks ago
Mumbai, Maharashtra, India Vahura Full timeOur client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their Mumbai office. An ideal candidate should have a PQE of 5-7 years and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances. Prior experience of working with an NBFC or a debt listed entity preferred. Interested...
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Sr. Manager- Compliance
2 weeks ago
Mumbai, Maharashtra, India Vahura Full timeOur client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their # ;#office. and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances . Prior experience of working with an NBFC or a debt listed entity preferred.
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Senior Manager-Secretarial and Compliance
6 days ago
Mumbai, Maharashtra, India Vahura Full timeOur client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their 𝗠𝘂𝗺𝗯𝗮𝗶 office.An ideal candidate should have a PQE of 𝟱-𝟳 𝘆𝗲𝗮𝗿𝘀 and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances.Prior experience of working with an NBFC or a debt...
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Manager of Regulatory Compliance
2 weeks ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000Compliance 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...