Compliance Officer - BFSI

Compliance Officer -PMS & AIF

Location - Mumbai

Education - MBA, CA, CS

Experience - 5 -7 Years

CTC -10-12 Lacs pa

Preferably - PMS

- Compliance

- Ensuring client level compliances related to PML, KYC, SEBI regulations, etc

- Managing Statutory and Regulatory compliances for PMS & AIF

- Drafting and filing of compliance reports to the Regulators

- Compliance on Applicable Policies under the Regulation

- Policies applicable to Company as per Company Law

- ROC filings as per the company law

- Assisting in Internal / Statutory Audits as per the requirements

- Maintaining Statutory Registers

- Assisting and coordinating with Internal and Statutory auditors for audit of Purposes.

- Client reports - Ensuring appropriate reports are sent to the clients on timely basis as per regulatory requirement.

- All the interested candidates can apply or call on 9867303334

Ravi Suryawanshi
Senior Executive - Search