Assistant Manager/Manager - Compliance

Hem Securities

2 - 4 years

4 - 7 Lacs

jaipur

Posted:2 days ago| Platform:

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Skills Required

secretarial compliance secretarial activities regulatory reports sebi compliance sebi regulations

Work Mode

Work from Office

Job Type

Full Time

Job Description

Roles and Responsibilities

We are looking for candidate who can represent the management vision and corporate guidelines to the team and ensure adherence to the same. Role involves strong hold on regulatory part of SEBI and Exchanges

Ensure Compliances pertaining to all the exchanges
Regulatory reporting - Filings monthly / Quarterly report reports, Annual Audit Certification, and independent audits
Liasoning with Internal auditors and statutory auditors and effectively handling SEBI, NSE, BSE,MCX, CDSL inspections
Ensure timely submission of reports before statutory or internally set deadlines
Evaluate the impacts of any new regulation, decision, ability to anticipate issues and proactively create a solution for open gaps and risks
Build process around regulatory compliance requirements
Adherence of all regulatory compliance in all process
Provide all compliance update to the management on reports on a weekly/monthly basis
Investor Grievance complaints
Monitoring of B.O. Grievance Report and its reporting
Risk Based Supervision Report & Other Compliance Report

Functional Competencies:

Advance Excel with VB and Macros, Reporting skills and Presentation
Committed and ready to work under constraints/ pressure.
Strong & Effective communication and influencing skills
Result Oriented with a positive outlook
Well-presented and business-like - Good speaking & writing skills
Qualifications CS /LLB/ /LLM

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