Lead Consultant at CareerNet Consulting
Views:589 Applications:141 Rec. Actions:Recruiter Actions:5
Compliance Officer - CS - FinTech (5-10 yrs)
Compliance Officer_Fintech Bangalore
5-10 years experience in SEBI and companies act compliance
Education : CS
Job Description :
Roles and Responsibilities :
- Should be well-versed with the SEBI regulations specifically SEBI (Investment Advisers) Regulations, 2013, SEBI (Research Analyst) Regulations, 2014, SEBI KYC Norms, and other applicable SEBI guidelines and also companies act
- Should be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.
- Should be professionals of high ethical standards and work diligently to complete their duties keeping in mind the objectives of the business.
- The goal is to preserve the company's integrity by making sure it stays on a lawful and ethical course.