Vice President at Kivi Capital
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Kivi Capital - Compliance Officer/Legal Secretary (0-5 yrs)
- Implementation of compliances of SEBI, NSE,MCX, NCDEX, NSDL, CDSL circulars,
- Handling inspections conducted by exchanges/regulatory bodies and preparation of reply to observation.
- Filing of reports, annual returns, weekly, monthly, quarterly, half-yearly and yearly submissions to Exchange / Depository,
- Representation to regulators like SEBI, NSE, MCX, BSE Broker Forum etc. on various matters concerning broking and Depository Participant industry.
- Application to SEBI, NSE, BSE etc. for seeking various licenses.
- Vetting of various agreements to be executed with vendors, insurers, outsourcing agencies etc.
- Responsible for all legal aspects of investment life cycle and regulatory compliance
- Providing Legal advice wherever necessary
- Company Secretary/LLB
- Proficiency in Excel and Word
- Good communication skills
- Knowledge of IT a plus.
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