Posted By
Posted in
Banking & Finance
Job Code
141824
Looking for candidates in Compliances in Mumbai
Candidate Profile
- Maintains checklists for KYC received for various transactions and list of pending documents for subsequent regular follow ups
- Maintains documentation with respect to Insider Trading declarations, Grey list transactions and Preclearance trade approvals
- Reports on quarterly basis to SEBI compliance under Debenture Trustee Regulations and reports to RBI on compliance with relevant circular
- Coordinate for filing of SEBI Registration Application both online and hard copy documents
- Interaction with Regulators on behalf of Trusts and clients
- Assistance to clients in regulatory approvals
- Supports Team members and external clients in readdressal of investor grievances
Critical Exposure/Experience
- Independently handling compliance
- Sending reports to SEBI and filing SEBI registration applications
- Taking care of KYC’s
- RBI Reporting
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Posted By
Posted in
Banking & Finance
Job Code
141824