- Ensuring RBI and SEBI compliance's of NBFC - implementing core obligation register to assist all support staff regarding various reports to be submitted as per RBI prudential norms and other guidelines, SEBI (Listing Obligations and Disclosures) Regulations, SEBI (Issue and Listing of Debt Securities) Regulations, SEBI Debenture Trustee Regulations, Takeover Code etc  - Applications to regulators - RBI for change in directors, change in control, restructuring and SEBI for registering as Research Analyst, NSE/BSE - change in constitution (merger) of broking firm  - Ensuring compliances for broking, investment banking, FDI and research business; including drafting of internal policies (AML/KYC, investments, corporate governance, code of conduct, fair practice code etc) training, advising, monitoring, regulatory reporting and handling internal as well as external audits  - Responding to regulator inquiries including examinations, inspections and investigations as well as making various representations to Regulators for seeking clarifications on newly issued guidelines/circulars/regulations  - Overseeing the monitoring, reporting and escalation of compliance issues and coordinating with colleagues on cross-divisional projects, including regional reporting, monthly compliance program, reviews, audits and inquiries  - Monitoring and keep the businesses apprised of regulatory developments and facilitate changes as required  - Planning and coordinating progress, improvements and tracking a range of initiatives and projects at regional level  - Developing and maintaining compliance plans, related policies and procedures and promote and monitor compliance with these policies an

Mumbai

Sharekhan - Senior Manager - Compliance 

Sharekhan - Senior Manager - Compliance  ,Job Description for Sharekhan - Senior Manager - Compliance  in Sharekhan Ltd in  Mumbai for (7-10) years of experience. Apply Now!

Job Description for Sharekhan - Senior Manager - Compliance  in Sharekhan Ltd in  Mumbai for (7-10) years of experience. Apply Now!