Compliance Head - Merchant Banking

- Responsible for compliance with all the regulatory requirements of SEBI

- Setting up various compliance processes for the Company

- Drafting and implementation and updation of different policies and procedures for the Company

- Prepared and implemented the Employees Share Trading Code of the Company as per the requirement of SEBI Insider Trading Regulations to monitor the stock exchange transactions of employees

- Liaising with SEBI on various matters

- Replying to Show Cause Notices from SEBI with the input from the legal counsels, attending the hearings at SEBI and SAT

- Handling of SEBI Inspection and replying to the various queries and assuring no adverse action from SEBI in this matter

- Submission of regulatory returns and reports

- Getting Informal Guidance from SEBI on various matters

- Compliance monitoring and review of activities of all Business Groups

- Giving regulatory and compliance support to the Business Groups

- Updating the Groups on new regulatory developments and the implications of the same

- Vetting of various documents of all the Groups

- Monitoring of Monthly Compliance reporting of all Groups

- Preparation of the various Compliance Certificate to be submitted to BOD, Audit Committee