Job Description
Job Description – Compliance & Regulatory Reporting (Technology & Cyber Compliance)
Department:
Compliance
Role Objective:
To ensure timely, accurate, and compliant execution of all regulatory reporting, audits, and submissions to Stock Exchanges and internal stakeholders, in line with SEBI regulations and Exchange/ Depository guidelines.
Key Responsibilities: Regulatory Reporting & Submissions
Manage and ensure timely submission of various regulatory reports to all Stock Exchanges/ Depositories:
Coordinate with internal teams to gather accurate data for regulatory filings.
Maintain Compliance Calendar for all regulatory submissions and audit timelines.
Maintain MIS and Audit Trail for the submissions.
Audit Management & Compliance Monitoring
Coordinate and oversee completion of:
Internal Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)- Broking and Depository Operations
System Audit Report and submiss...
Department:
Compliance
Role Objective:
To ensure timely, accurate, and compliant execution of all regulatory reporting, audits, and submissions to Stock Exchanges and internal stakeholders, in line with SEBI regulations and Exchange/ Depository guidelines.
Key Responsibilities: Regulatory Reporting & Submissions
Manage and ensure timely submission of various regulatory reports to all Stock Exchanges/ Depositories:
Coordinate with internal teams to gather accurate data for regulatory filings.
Maintain Compliance Calendar for all regulatory submissions and audit timelines.
Maintain MIS and Audit Trail for the submissions.
Audit Management & Compliance Monitoring
Coordinate and oversee completion of:
Internal Audit Report and submission of Action Taken Report (ATR) (Half-Yearly)- Broking and Depository Operations
System Audit Report and submiss...
Ready to Apply?
Take the next step in your AI career. Submit your application to 5paisa today.
Submit Application