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Maximus Global Consulting Services
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Senior Compliance Manager

Senior Compliance Manager

Maximus Global Consulting Services

8 - 13 years

|

25 - 30 Lacs

Mumbai Mumbai Suburban Mumbai (All Areas)

Posted:1 day ago| Platform:

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Skills Required

Compliance SEBI Regulations Internal Audit NSE Broking Assessment Regulatory Inspection NSDL Depository Security Auditing Stock Broking BSE PMS Investigation Stock Exchange

Work Mode

Work from Office

Job Type

Full Time

Job Description

Managing SEBI related compliances for broking houses
Ensure routine compliance with the regulatory requirements of stock exchanges
Monitor and review all circulars, notifications, and guidelines issued by regulatory authorities such as SEBI and stock exchanges.
Manage letter of observations received from Exchanges.
Implement Key circulars from Exchanges and SEBI.
Submit various reports within due date to regulatory authority: Internal audit, Cyber security audit, system audit, Risk based supervision, Annual Returns
Liaison with product and tech teams to integrate SEBI and Exchange approved features

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Maximus Global Consulting Services

Maximus Global Consulting Services

Consulting

New York

150 Employees

7 Jobs

Key People

John Smith

CEO
Jane Doe

Chief Operating Officer
Emily Johnson

Chief Financial Officer

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