Manager / Senior Manager- Compliance- SEBI Data

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...

About 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...

Role & 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...

Organizational 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...

Job 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,...

Our 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...

Our 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...

Our 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...

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 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,...