Job Description
Key Responsibilities / What You'll Do:
Regulatory Compliance:
Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution guidelines, and AIF operational requirements.
Maintain up-to-date knowledge of all applicable regulations, circulars, and guidelines issued by SEBI, AMFI, RBI, and other regulatory bodies.
Develop, update, and implement policies and procedures to align with regulatory requirements.
Risk Management:
Identify, assess, and mitigate compliance risks across all business activities. Monitor and report breaches or potential violations of compliance policies.
Monitoring and Reporting:
Prepare and submit reports, disclosures, and returns as required by SEBI and other regulatory bodies within stipulated timelines.
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