Role : Compliance Manager
Company : Leading Financial Services Firm
Location : Mumbai
Candidate must have experience in the following:
* Preparation and submission of Merchant banking reports to SEBI as per SEBI (Merchant Banking Regulations 1992) and complying with the said regulations including compliance matters pertaining to the Merchant Banking, Underwriters licenses, its registrations / renewal thereof.
* Implementation of internal code of conduct to curb insider trading and actively participated and assisted in preparation and implementation of various compliance policies& handled matters pertaining to Know Your Customer Policy for the 'Investment Banking' division.
* Assisting in matters pertaining to vetting of Legal agreements/documents as necessitated under the SEBI (ICDR) Regulations, Merchant Banking regulations and various other applicable regulations
* Providing education by way of seminars on recent developments on compliance related matters to the organization. Tracking circulars issued by SEBI and circulating the same on immediate basis to the concerned departments in the organization for necessary action
* Preparing & maintaining the Grey & Restricted trading list of Institutional Equities.
Handled secretarial & compliance related matters of a systematically important non - deposit accepting NBFC
* Assisting IBD in various Business transactions as a member of compliance and handling various in-house secretarial & compliance matters