Assistant Vice President - Compliance - NBFC

Hiring for a well established large NBFC Group based at Delhi / NCR .

Qualified Company Secretary with at least 8 plus years of experience in compliance.

Responsibilities Include :

Secretarial Compliance:

1. Ensure secretarial/corporate compliances.

2. Conducting Board /Committee / General Meetings.

3. Manage to restructure of company and Board

4. Provide timely and accurate decision variables to all queries secretarial compliances

Broking Compliances:

1. Ensure all the Compliances of Rules, regulations, Circular and Byelaws, of SEBI, MCX, NCDEX, and also, formulates & frame policies and procedures for Internal controls as per regulatory requirements

2. Manage the Regulatory Inspections, internal and statutory audits, Risk based supervision and investigations of MCX, NCDEX and SEBI and managing reply and defending the inspection/investigation reports

3. Submission of new applications/renewals / surrender with regulators/exchanges.

4. Provide timely and accurate decision variables to all queries of any department relating to compliance issue of Securities market, commodity market and other compliance issues

SEBI Research Manage Analyst Regulations Compliances:

1. Framing various policies/ Internal controls as required under SEBI Research Analyst Regulations and ensure Compliance

2. To ensure Compliance under Code of Conduct for Research analyst.

3. Manage Research Analyst operations Internal Audit

In interested, please Contact

Vinita Sinha
9811118713