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Sbicap Securities logo
AM Legal & Compliance Sbicap Securities

2.0 - 4.0 years

2 - 4 Lacs

Mumbai, Maharashtra, India

On-site

Key Deliverables / Accountabilities Review and disseminate various circulars issued by Exchanges, Depositories, SEBI, etc. and define processes for implementation. Conduct continuous test checks to ensure compliance with the regulatory requirements. Day to day query handling in relation to regulatory area of SEBI, exchanges and depositories Handling Process Audit Liaison with Regulators on various regulatory matters Ensuring timely and accurate regulatory submissions to exchanges, Depositories, various PMS submissions, etc. Management and approvals of Marketing Approvals (Internal and Exchange) Preparing various reports & MIS for senior Management & Board of Directors. Managing approvals of ...

Posted 4 months ago

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