compliance advisory

Job Description:

• Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function
• Liasioning with Exchanges on everyday basis
• Managing Inspections carried out by Exchanges, Depositories and SEBI
• Managing internal audits of Depositories and Exchanges
• Submission of Enhanced supervision data and other Exchange reporting's on a timely manner
• KYC Compliance and monitoring of compliance functions
• Preparation, submission, and uploading Annual return & mis Compliance to the exchanges.
• Timely updating Policies and procedures in line with Exchange guidelines
• Handling internal audits and implementation
• Preparation and submission of MIS and status reports