Mirae Assets Sharekhan - Assistant Vice President - Compliance

Direct Responsibilities:

- Develop, implement, and manage the company's Regulatory compliance requirements.

- Conduct regular audits and risk assessments.

- Implementation of all regulatory changes

- Stay updated with regulatory changes and ensure company policies are updated accordingly.

- Prepare and submit compliance reports to regulatory bodies.

- Collaborate with internal and external stakeholders to address compliance issues.

- Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.

- Co-ordinating with Exchanges, Depositories, SEBI for various inspections and responding to queries.

- Co-ordinating with Internal auditors, systems/cyber auditors and various other audits.

- Guiding the internal stakeholders w.r.t various SEBI and Exchange circulars and implementing policies and procedures accordingly.

- Supervision over Regulatory function and ensure the TAT is followed.

Contributing Responsibilities:

- Developing and maintaining compliance plans, related policies and procedures and promote and monitor compliance with these policies.

- Responding to regulator inquiries including examinations, inspections and investigations as well as making various representations to Regulators for seeking clarifications on newly issued guidelines/circulars/regulations.