Team Member - Core Compliance
Posted Updated
Description
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Sending and implementing circulars of SEBI, Exchanges,
Depositories</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Account opening queries including of NRI and
approving various processes of account opening</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Handling compliance on Insider Trading Regulations
(employee trading)</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Review of various policies of the organization</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">PMS Compliances including half yearly and Disclosure
documents </span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Making representation to Regulators.</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Making submissions of various regulatory reportings to
Regulators.</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Handling Inspection/Internal Audits/System Audit/Cyber
audit</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Research regulations related compliance</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Handling Sebi/Exchange investigations</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Replying to Surveillance related mails from
Regulators</span></p>
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<p class="MsoNormal" style="margin-bottom:0.0001pt;line-height:normal;"><span lang="en-us" xml:lang="en-us">Reply to Observation letters/show cause notices</span></p>
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