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Director, Compliance CLSA

12.0 - 16.0 years

0 Lacs

maharashtra

On-site

You will be responsible for ensuring the implementation of regulatory and corporate compliances in accordance with SEBI, BSE, NSE, NCL, and other Regulatory Authorities. This includes timely submission of all regulatory filings. You will manage applications to Stock Exchanges / SEBI for renewal of licenses, changes in Directorships/shareholding patterns, and assist in new business proposals to ensure they meet regulatory requirements and obtain necessary approvals. Advising the business on legal, compliance issues, and regulatory risks related to Broking, investment banking, and research business will be a key aspect of your role. You will oversee various audits/inspections conducted by Stoc...

Posted 2 months ago

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