Compliance Officer

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  • Mumbai
  • Confidential
  • 4-9 years
  • 23 Sep 2015

  • Compliance/ Regulatory

  • Financial Services/ Capital Markets, Banking - Retail
Job Description

Job Responsibilities:

i You will be responsible for role of business and regulatory compliance's as required by
SEBI, NSE, BSE, clients/stakeholders and other regulatory authorities.
ii Establishing, implementing and managing the compliance framework.
iii Providing Compliance advice to the business.
iv Handling day-to-day Regulatory Compliance.
v Handling BSE, NSE & SEBI Inspection & audit
vi Co-coordinating with exchanges for any compliance related issues.
vii Handling compliance matters related to investment banking department.

Will be responsible for the role of Business and Regulatory Compliance,Handling BSE, NSE & SEBI Inspection & audit

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