Overview
Key Responsibilities:
– Implement and monitor compliance with all relevant circulars and guidelines issued by SEBI, Exchanges, and Depositories.
– Conduct regular compliance reviews of various products and services offered by the firm.
– Represent the firm before regulators on various compliance-related issues.
– Manage and respond to regulatory queries and submissions effectively.
– Ensure timely and accurate submission of all regulatory reports.
– Review and update internal policies, procedures, and Standard Operating Procedures (SOPs) to align with regulatory changes.
– Ensure compliance with SEBI PIT Regulations and other relevant regulations.
– Investigate and resolve regulatory observations and audit findings.