27/12 Abhishek Dalmia
Vice President at Kivi Capital

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Kivi Capital - Compliance Officer/Legal Secretary (0-5 yrs)

Gurgaon/Gurugram Job Code: 647999

Responsibilities :

Compliance :

- 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.

Legal :

- 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

Qualifications :

- Company Secretary/LLB

- Proficiency in Excel and Word

- Good communication skills

- Knowledge of IT a plus.

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