Compliance Role - KYC - SEBI/RBI

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