69 Job openings found

Key Responsibilities: Regulatory Returns Filing: Ensure timely and accurate filing of applicable regulatory returns. Regulatory Inspections: Maintain organized and up-to-date documentation to facilitate seamless inspections. Minimize observations during regulatory inspections through proactive management. Adhoc Requirements Submission: Ensure submission of adhoc requirements within specified time frames. Develop standardized processes for quickly ...

Key Responsibilities:● Periodic Regulatory Reporting & Tracking:○ Manage and ensure timely and accurate periodic reporting as a SEBI registered Stock Brokerand Depository Participant to regulating authorities including SEBI, CDSL, NSDL, NSE, BSE,and ICCL.○ Oversee periodic reporting as a PFRDA registered Point of Presence for NPS to the PFRDA.○ Proactively track ...

Job Title: Legal Head – GM / VP Location: Bhopal Reporting To: CEO Purpose of the Position (Job Summary) The Head Legal is responsible for leading the legal function of the company, ensuring statutory and regulatory compliance, managing corporate governance, and mitigating legal risks. The role involves providing legal counsel on ...

POSITION: Senior Manager or AVP (depending on experience and qualification)Reports to (Position): Director and Head - Compliance)Business Unit: ComplianceLocation: MumbaiPosition Purpose: Core Responsibility Investment limit monitoring, coding of rules, checking the settings in trading application for various investment restrictions, clearing of alerts, comprehensive repository of limits applicable to schemes, providing reports related to limit ...

Regulatory Expert – Basel IV and IFRS 9 ComplianceRole Summary:Regulatory Experts will guide financial institutions in complying with Basel IV and IFRS 9 standards,providing expertise in regulatory reporting and implementation.Key Responsibilities: Advise on Basel IV and IFRS 9 compliance strategies and implementation. Prepare detailed regulatory reports and ensure accurate capital ...

JOB INTENT The position responsibilities would include ensuring compliance with SEBI Mutual Fund, PMS and AIF Regulations while also handling queries from internal departments and regulators and managing coordination for internal meetings. JOB RESPONSIBILITIES Making/vetting SID of all new schemes and updating SAI Product vetting /Product compliance related tasks Vetting of marketing material /advertisements. Preparation and ...

About the RoleThe Lead – Trade-Based Money Laundering (TBML) is responsible for reviewing and analyzing AML alerts related to trade transactions, ensuring compliance with internal procedures and regulatory guidelines. The role involves supporting the implementation of Trade AML policies, conducting post-transaction reviews, and escalating suspicious activities. As a key member ...

Overview of Functions:   Treasury Middle-Office (TMO) functions including: Treasury P&L calculation, attribution, reconciliations and management reporting Monitoring & reporting of Market Risk Limits Counterparty exposure monitoring Performing Stress Testing, Scenario Analysis, Rate Scan Market Risk Capital Charge Computation Regulatory Reporting for Market Risk including RBS, RBI Stress Testing etc Risk Notes to the ALCO and Board of Directors ALM ...

Treasury Middle-Office (TMO) functions including: Treasury P&L calculation, attribution, reconciliations and management reporting Monitoring & reporting of Market Risk Limits Counterparty exposure monitoring Performing Stress Testing, Scenario Analysis, Rate Scan Market Risk Capital Charge Computation Regulatory Reporting for Market Risk including RBS, RBI Stress Testing etc Risk Notes to the ALCO and Board of Directors ALM reporting   The manager ...

Job Description: We are seeking an experienced Compliance Officer to oversee regulatory adherence and operational risk management across our Broking, Global Access Market, Distribution, and Insurance verticals in GIFT City. This is a key leadership role requiring in-depth knowledge of IFSCA regulations and capital market operations. Key Responsibilities: Ensure full compliance with IFSCA, ...