Senior Manager - Compliance - PMS

SEBI Regulations :

- Compliance with SEBI (Prohibition of insider trading) Regulation

- Compliance with SEBI (Stock Brokers) Regulation

- Compliance with SEBI (Portfolio Manager) Regulations

Others :

- Implementation of circulars issued by all regulators and coordinating within the organization.

- Reviewing policies relating to broking industry.

- Finalizing of hedging document and providing approval basis RBI circular.

- Studying of SEBI orders issued and drafting of its summary

- Co-ordinating with all regulators and drafting of representation.

- Discussion papers issued by SEBI and drafting of forum feedbacks.

- Employee trading and reviewing approvals given.

- Maintaining internal compliance check.

- Conducting compliance educational training within organization.

- Approving client communications - regulatory.