CA, CFA, CMA, MBA
BFSI (Credit & Risk)
Qualified Professional - Experienced
Work from Office
ICWA (CMA), CFA, CA - Qualified, MBA/PGDM
- 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.