Head Compliance in Mumbai   Role -   - Hands on experience of implementing a compliance framework as required by the RBI, SEBI & IRDA & ensuring the adherence to the same  - Monthly/Quarterly/Half yearly/Annual/Event Based compliances for RBI & IRDA  - Listing Compliances as per LODR  - To act as a focal point with Regulators for clarifications, implementation on regulations and obtaining specific approvals  - To advise business and support units in compliance issues arising from their operations and business  - Filing of Quarterly Financial Result, Corporate Governance Report and Shareholding Pattern, Statement of Investor Grievances with BSE and compliance of various other clauses of LODR  - Intimation of change/modification pertaining to membership with Depository  - Inspections of NSDL and CDSL  - Replied to grievances/ complaints forwarded by Depositories, Weekly and submission of monthly IG report to NSDL & CDSL  - Filling of monthly, bi-monthly & other periodic reports to SEBI,RBI & IRDA   - Submissions pertaining to Exchanges and SEBI  - Analysis of circulars/guidelines issued by regulators on regular basis and Implementation of the same.   - Vetting of Polices and Agreements from Compliance perspective  - Event based submission to Exchange and Depositories. (Change in director, Shareholding Pattern Compliance Officer etc)  - Preparing Disclosure under SEBI (SAST) & SEBI (Prohibition of Insider Trading) Regulations  - Liaising with Practicing Company Secretary for Board Meeting & other ongoing projects eg. Secretarial Audit, MCA filings & compliances, etc.  - Passed Company Secretary Professional Examination   - Completion of IRDA certification for Principal Officer  - Completion of Securities Intermediaries Compliance Certification would be an added advantage  - Attended trainings of Exchanges, IRDA and SEBI  Work Experience:  - Minimum of 7 years of post-qualification professional experience of implementation & management of RBI, SEBI & IRDA compliances  Seema  CorporateSearch

Mumbai

Head - Compliance - BFSI 

Head - Compliance - BFSI  ,Job Description for Head - Compliance - BFSI  in Corporate Search in  Mumbai for (7-10) years of experience. Apply Now!

Job Description for Head - Compliance - BFSI  in Corporate Search in  Mumbai for (7-10) years of experience. Apply Now!