Liaisoning with the Exchanges.
Managing inspections carried out by Exchanges, Depositories, and SEBI.
Handling internal audits related to Depositories and Exchanges.
Preparing and submitting Enhanced Supervision Data.
Performing periodic filings to Exchanges.
Seeking regulatory approvals for advertisements and related materials.
Ensuring KYC compliance and continuous monitoring.
Preparing, submitting, and uploading Annual Return Compliance to the Exchanges.
Handling investor complaints efficiently.
Conducting control testing, and preparing policies and procedures for compliance.
Evaluating and implementing new regulatory guidelines.
Managing internal audits and ensuring timely implementation of audit recommendations.
Preparing and submitting MIS and status reports.
Reviewing and updating company forms and internal documents as per applicable Stock Broking/DP guidelines.
Managing Authorised Person (AP) registration processes with Exchanges and coordinating updates and compliance requirements.
Liaisoning with the Company Secretary for all secretarial filings and updates related to company details.
Desired Candidate Profile:
Proven experience in handling compliance and liaisoning with regulators and SEBI.
Strong verbal and written communication skills.
Ability to work effectively in a fast-paced environment and meet tight deadlines.
Eagerness to learn and grow within the organization.
Proficient in Microsoft Office and internet applications.
Job Type: Full-time
Pay: ₹15,000.00 - ₹16,000.00 per month
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