Responsibilities:-

• SEBI relationship management and management of SEBI Inspection
• Good understanding of Securities Laws / SEBI Regulations on Depositories / Stock Exchange Rules & Regulations other Directive of SEBI
• Provide guidance to internal stakeholders on interpretation of regulations and guidelines issued by Regulatory Authority on Stock & Commodity Exchange
• Vetting and approving various advertisements, factsheets, posters etc., other communications to investors / customers
• Maintain central repository of business compliance manuals, policies, local legal inventory, and central list of all governing status, regulation, policies, and other material related to respective compliance program
• Participate in and representing the views of the organization in regulatory and industry forums, councils and associations. Help industry create industry benchmark on Consumer Protection and KYC/AML
• Leveraging external information to identify key regulatory risks for the entity based on the status of its internal control environment
• Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof.
• Identify, investigate and resolve indications of violations to the Company's internal policies, systems and controls or to applicable laws, rules or regulations.
• Do necessary regulatory filing including applicable foreign regulatory filings.

Qualification:-CA/MBA/CFA/CMA with 15 years of experience in Regulatory Compliance in Stock Exchange / Broking Firm / Big 4 / SEBI.

Skills

CMACFAMBAChartered Accountant(CA)ComplianceSEBILegal inventoryBenchmarkingRegulatory risk

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