Core Compliance Role - Financial Services

Key Responsibilities:

- Implement and monitor compliance with all relevant circulars and guidelines issued by SEBI, Exchanges, and Depositories.

- Conduct regular compliance reviews of various products and services offered by the firm.

- Represent the firm before regulators on various compliance-related issues.

- Manage and respond to regulatory queries and submissions effectively.

- Ensure timely and accurate submission of all regulatory reports.

- Review and update internal policies, procedures, and Standard Operating Procedures (SOPs) to align with regulatory changes.

- Ensure compliance with SEBI PIT Regulations and other relevant regulations.

- Investigate and resolve regulatory observations and audit findings.