Compliance
📍 Mumbai
💼 Experience: Min 4+Years
- Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
- Managing Inspections carried out by Exchanges, Depositories and SEBI
- Submission of Enhanced supervision data and other Exchange reporting on a timely manner
- KYC Compliance and monitoring of compliance functions
- Preparation, submission, and uploading Annual return & Compliance to the exchanges.
- Preparation and submission of MIS and status reports
- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines