Compliances with the Debt Listing Agreement and Trusteeship Compliances.  Event based compliances and intimations to BSE & NSE  Compliance with the SEBI Insider Trading Regulations.  Worked on obtaining approval for obtaining membership of stock and commodity exchanges.  Worked on Renewal of Portfolio Management Serices (PMS) license, Central Depository Serices (India) Limited (CDSL) license, National Securities Depository Limited (NSDL) license, Association of Mutual Fund (AMFI) and Insurance Regulatory Deelopment Authority license.  Responsible for providing Know Your Client documents to the Exchanges.  Responsible for Surrender of membership of Bombay Stock Exchange – Currency Derivative Segment.  Handled all the Compliance including monthly, quarterly and half yearly filings w.r.t to Portfolio Management Serices.  Responsible for filing of PMS Disclosure document with SEBI.  Responsible for obtaining the Conduct Certificate and Turnover Certificate form the Exchanges.  Responsible for adhering to all the Circulars, notices and notifications issued by SEBI, Exchanges and Ministry of Corporate Affairs.  We will screen your profile in detail and revert you all possible job position matching to your cv.   Either me or my team member will call you to discuss the JD suitable and share with you a detailed presentation about the company. If no call back than not suitable for this particular position or still under evaluation for any other suitable profile.   You can also add me to your linkedin connection or send me invite. I will try my best to keep you updated about various job opportunity in your sector and suitable to you.   In case if your profile is not matching to the above mentions criteria’s, please forward this mail to your friend or colleagues who can explore this opportunity.   Manish Rajawat  Director  Intellectual Capital HR Consulting Pvt. Ltd  A/405 Galleria, Hiranandani Gardens,  Powai, Mumbai 400 076  Tel # 022-40054289  (M) 9819748611  www.intellectualcapital.co.in  http://www.linkedin.com/pub/manish-rajawat/6/810/224

Mumbai

Sr Manager - Compliance - BFSI 

Sr Manager - Compliance - BFSI  ,Job Description for Sr Manager - Compliance - BFSI  in Intellectual Capital in  Mumbai for (3-10) years of experience. Apply Now!

Job Description for Sr Manager - Compliance - BFSI  in Intellectual Capital in  Mumbai for (3-10) years of experience. Apply Now!