Compliance Manager

Regulatory Compliance:

• Responsible for regulatory compliance - Ensure compliance with all rules, regulations, byelaws, circulars and other guidelines, issued from time to time, by the exchanges, depositories, SEBI, and other regulatory bodies.
• Maintenance of process documents (SOPs), Policies, trackers for ensuring adequate records are in place for easy data extraction, and carryout relevant updations in the same from time to time
• Handle preparation, reporting and submission of necessary reports and documents to the relevant authorities in an accurate and timely manner.
• Liaising with Exchanges, Depositories for routine matters
• Circular Tracking and Implementation:
• Track and interpret circulars from all concerned regulatory bodies and conduct discussions with all stakeholders.
• Carry out the relevant changes in the processes / documents in line with the regulatory circulars / guidelines
• Oversee the end to end implementation of necessary changes.

Data Analysis and Compliance Assurance:

• Perform data analysis to ensure accurate reporting to regulators and exchanges.
• Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements.

Audit and Inspection Handling: