Job Description

Role

Manager / Senior Manager - Compliance

Qualification

Graduate in Law (LLB)/ Commerce and Company Secretary (CS)/ Postgraduate with more than 15 years of experience in core compliance function of an MII may be considered.

Location

Mumbai

Experience

More than 8-12 yr of experience



#

Maintain up-to-date knowledge of SEBI circulars and notifications relevant to depository operations. Review and drafting of all Regulatory policies. Drafting and review of all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc. Monitor changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiate implementation. Review and ensure maintaining accurate and up-to-date records of all regulatory correspondences and filings. Track and close audit findings related to compliance matters in a timely manner. Prepare compliance reports for internal stakeholders and the Board/Audit Committee. Conduct internal compliance reviews and support audits and inspections conducted by regulators. Act as a liaison with SEBI and other regulatory authorities for compliance-related matters. Coordinate with internal departments for data collation, report preparation, and compliance implementation. Ensure timely and accurate filings with SEBI under various regulations including LODR, PIT (Prohibition of Insider Trading), and others. Implement, monitor, and periodically review the internal Code of Conduct and Insider Trading policies. Maintain trading windows and oversee pre-clearance and disclosures of trades by designated persons. Conduct training and awareness programs for employees and designated persons on Insider Trading norms and Code of Conduct. * Any other responsibilities for ensuring/adding value to the compliance function which may be entrusted by the company from time to time.