Job Description
job description
avp - compliance in mumbai
Core Purpose of the Role : Manage Compliance aspects of Investment Banking & Broking Ensure all regulatory submissions / filing are done in time and record ismaintained All relevant policies are regularly updated and ensure compliance thereof Ensure new circulars released by regulators are reviewed, discussed andimplemented (Guide various teams, make plan and ensure implementation) Responsible for Managing Initial Public issues / Buy backs / Valuations /Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers,legal, exchanges etc) Ensure that all Merchant banking & Broking transactions are executed asper regulatory guidelines and within timelines Manage relationships with regulators and assist with the Company's responseto regulatory inspection / observations Assist in various compliance matters / opinions in day to day activities,Review of various documents Ensure timely completion of inspections Managing customer (internal) queries in a timely manner to resolvegrievances Regular updates / training to employees related to compliance, AML, InsiderTrading etc Review of surveillance alerts and action on the same
skills
compliance |
