Position / Level - Senior Officer/Assistant Manager - Compliance  Location - Mumbai  Qualification - CS/LLB  Candidate Profile :   - KYC and PMLA Compliances   - Making AIF Applications to SEBI and Follow up with SEBI   - Maintaining various MIS  - VCF SEBI compliances/ Uploading of VCF QCR on behalf of clients on quarterly basis on SEBI Portal  - Surrender of VCF/AIF SEBI registration  - Change of name and address applications  - Handling Client queries on application,   - Provide value added services in proactive and proficient manner to clients  - SAST Reporting and Grey Listing of shares  - Resolution of Investor Grievances and its intimation to SEBI in case of non-resolution including daily review of SEBI Scores System  - Default case intimations to SEBI  - Monitoring HYC process as per regulation 52(4) & (5) of SEBI LODR Regulations, 2015  - Updation of company website in terms of Debenture Trustee compliances  - Compliance with Insider Trading Regulation, 2015 and Code of Conduct of the Company  - Updation of ISIN on CDSL/NSDL website as and when required  - Regulatory queries and retrieval of data  - Sharing of information with CRAs and SEBI on timely basis  - Tracking of regulatory circulars/notifications  - Handling Internal Audit observations raised by the Auditors correspondence with client and regulators  - Critical Exposure/Experience  - Compliance with SEBI Regulations,   - SEBI(LODR) Regulations,   - KYC and PMLA guidelines of SEBI and RBI, correspondence with clients and regulators, Resolution of investor grievances,   - Coordination in internal audit  Salary Offered: 10 - 12 LPA

Mumbai

Senior Officer/Assistant Manager - Compliance - CS/LLB - BFS 

Senior Officer/Assistant Manager - Compliance - CS/LLB - BFS  ,Job Description for Senior Officer/Assistant Manager - Compliance - CS/LLB - BFS  in V-Konnect Associates in  Mumbai for (3-7) years of experience. Apply Now!

Job Description for Senior Officer/Assistant Manager - Compliance - CS/LLB - BFS  in V-Konnect Associates in  Mumbai for (3-7) years of experience. Apply Now!