Elara Securities Reviews by Employees

Regulatory Compliance: - Monitor compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory requirements. - Assist in preparing and filing periodic returns and reports with regulatory bodies. - Maintain up-to-date knowledge of regulatory changes and advise management on necessary actions. Internal Policies and Procedures: - Assist in drafting, updating, and implementing internal compliance policies and procedures. - Conduct regular reviews of the company's processes to ensure adherence to internal controls. - Ensure that all employees are aware of and comply with the company's compliance policies. Risk Management & Surveillance: - Identify and assess compliance risks related to the company's activities. - Support the Sr. Manager in developing and implementing risk mitigation strategies. - Monitor and report on the effectiveness of risk management and surveillance activities. - Monitor and close surveillance alerts. - Client due diligence for onboarding Clients Audit and Inspection: - Assist in coordinating internal and external audits related to compliance. - Prepare documentation and responses to audit findings and ensure timely implementation of corrective actions. - Support in managing inspections and inquiries from regulatory authorities. Training and Awareness: - Conduct compliance training sessions for employees on regulatory requirements and internal policies. - Prepare training materials and ensure that staff is regularly updated on compliance matters. - Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments Record Keeping and Documentation: - Maintain accurate and up-to-date records of compliance activities, including filings, audits, and training sessions. - Ensure that all compliance-related documentation is properly archived and easily retrievable. - Liasoning with product and sales team for getting empanelled with various fund houses, AMC's and AIF's for distribution of third party financial products - Review of Agreements for third party financial products Reporting: - Prepare regular compliance reports for senior management. - Assist in the preparation of reports for the Board of Directors and compliance committees.

Mumbai

Elara Capital - Compliance Role 

Job Description for Elara Capital - Compliance Role  in Elara Securities (India) Private Limited in  Mumbai for (3-8) years of experience. Apply Now!