Posted: 3 months ago
Posted: 3 months ago
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Job Description
- Handle communication with Exchanges (NSE/BSE) and complete required documentation.
- Ensure compliance with Companies Act, SEBI, NSE & BSE regulations.
- Manage stock broker compliance – SEBI filings, exchange inspections, audits.Monitor KYC, client onboarding & internal audit requirements.
- Conduct Board/Committee/General Meetings, draft notices & minutes.
- Ensure timely payment of regulatory fees, filing of returns, and adherence to licensing/registration requirements.
- Keep track of regulatory updates, circulars, and notifications and implement necessary changes in company policies or processes.
- Prepare compliance reports for management review and ensure timely closure of audit observations.
- Analytical skills to assess audit readiness, compliance gaps, and regulatory impact on organizational policies.
- Adaptability to implement digital compliance tools and centralized reporting frameworks aligning with evolving regulatory environments.
- Prepare and submit exchange-related documentation, disclosures, and reports within stipulated timelines.
- Establish internal controls and compliance frameworks to mitigate regulatory risks.
- Draft, review, and circulate notices, agendas, resolutions, and minutes of meetings.
- Implement systems to track, review, and report suspicious transactions in coordination with compliance and risk management teams.
- Liaise with internal departments to strengthen client onboarding policies and audit readiness.
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ComplianceRegulatoryRisk ManagementIf a job posting appears fraudulent, asks for payment, contains misleading information, or violates our guidelines, please report it immediately. Our team will review it promptly, Jobaaj does not charge any fee from the applicants.
About Company
RMoney is a financial services company offering a range of investment and trading solutions. (This is a general description based on the company name, as the provided link might be broken or inaccessible)
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