Compliance Manager - AMC Waytogo Consultants

3.0 - 7.0 years

0 Lacs

ahmedabad, gujarat

On-site

As a Compliance Manager, your primary responsibility will be monitoring the compliance of SEBI Regulations and International Financial Services Centers Authority (IFSCA) regulations. You will be expected to ensure timely reporting by the Asset Management Company (AMC) and address any exceptions in compliance to SEBI, IFSCA, the Board of AMC, and the Trustees. Additionally, you will be required to submit periodical reports to regulators, the Association of Mutual Funds in India (AMFI), the Board of Trustees, and the AMC in a timely manner. It will also be part of your role to handle and resolve investor grievances promptly. In this position, you will be vetting and approving various communica...

Posted 3 months ago

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Compliance Head Recex.co

5.0 - 12.0 years

0 Lacs

navi mumbai, maharashtra

On-site

You have over 12 years of experience in stock broking operations, showcasing excellent organizational skills such as time management, record keeping, self-scheduling, and follow-up abilities. Your expertise lies in drafting clear and professional correspondence and legal, compliance, and business-related documents. Your flexibility allows you to prioritize tasks effectively and manage multiple responsibilities within tight deadlines. Your role primarily involves ensuring compliance with SEBI and other applicable rules and regulations of stock exchanges like NSE & BSE, depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reportin...

Posted 4 months ago

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