AM Legal & Compliance

Key Deliverables / Accountabilities

• Review and disseminate various circulars issued by Exchanges, Depositories, SEBI, etc. and define processes for implementation.
• Conduct continuous test checks to ensure compliance with the regulatory requirements.
• Day to day query handling in relation to regulatory area of SEBI, exchanges and depositories
• Handling Process Audit
• Liaison with Regulators on various regulatory matters
• Ensuring timely and accurate regulatory submissions to exchanges, Depositories, various PMS submissions, etc.
• Management and approvals of Marketing Approvals (Internal and Exchange)
• Preparing various reports & MIS for senior Management & Board of Directors.
• Managing approvals of various client communications prepared by internal stakeholders.

Competencies Required:

• Self-starter
• Team player
• Multitask
• Result Orientation
• Team handling and supervising

Essential Educational & Experience Qualification

Qualification Needed:

• A Chartered Accountant with at-least 2 years of post-qualification experience in compliance Department of Stock Broking industry.
• Relevant Experience: At least 2 years Experience