Senior HR Consultant at Afflatus HR Services Pvt. Ltd.
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Compliance Manager - BFSI (5-14 yrs)
1. IA regulations
2. Applay only if you worked with Assest Management Company
3. Company Secretary from ICSI
- Providing compliance/legal solutions and opinion to the Management and making processes and systems seamless without exposing the Organization Compliance risks. Ensure compliances, timely filings, submissions etc applicable to the Company under various Licenses including but not limited to compliances under the SEBI (Stock Brokers and sub-Brokers) Regulations, 1992, exchange rules, circulars, bye laws etc, SEBI (Mutual Funds) Regulations, 1996, SEBI (Depositories and Participants) Regulations, 2018, SEBI (Investment Advisers) Regulations, 2013, SEBI (Prohibition of Insider Trading) Regulations, Prevention of Anti Money Laundering Act, 2002 (PMLA-AML and CFT), Know Your Customer Guidelines(KYC, e-KYC, C-KYC) and amendments thereof.
- Update the Management and other Process Owners about amendments in applicable laws or new Laws applicable to the Company, Circulars issued by SEBI/Depositories/Exchanges from time to time along with action required to ensure compliances with the amended/new laws
- Liaising with various regulators, industry associations, legal counsels of the company and Government departments (SEBI, AMFI, Reserve Bank of India, Registrar of Companies, FIPB etc.)
- Handling Concurrent, Internal and External audits, Inspections by SEBI/Depositories/Exchanges or any other bodies.
- Coordination with Statutory, Internal & Secretarial Auditors
- Suggest actions for rectification/improvements regarding non- compliances/ processes and implement & maintain a process for control and follow up of rectification, corrective action
- Timely resolution to the Compliance queries raised by various functions/departments.
- Contribute to the long term business strategies and plans and annual business plans
- Handling Investor Grievances as per regulatory guidelines
- Reviewing & updating the Company forms, Process notes, Website and other internal documents in line with applicable regulations
- Liaising with Exchanges, Depositories for routine matters
- Any other compliance matters as assigned from time to time
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