17 Jan 2025
KPWg
Compliance Legal & Secretarial, 2 to 4 years in Mumbai
JM Finance
Mumbai
3-4 Years
Company Secretary, Compliance, RBI, FEMA, NBFC, SEBI, Stock Exchange
Job Description
Position: Compliance Legal & Secretarial
Qualification: CS/CA plus LLB (preferred)
Experience: 2 to 4 years
Location: Mumbai
Job description
Qualification: CS/CA plus LLB (preferred)
Experience: 2 to 4 years
Location: Mumbai
Job description
RESPONSIBILITIES & TASKS: ( Key Responsibilities & tasks carried out by the Position in line with Job Objective )
- Handling stock broking compliance and related work, particularly surveillance and AML Compliance
- Drafting and reviewing various documents and agreements
- Dealing/Interacting with SEBI, stock exchanges and other authorities. Submission of periodical reports and correspondence with regulatory authorities/stock exchanges/ depositories/internal entities
- Drafting and reviewing various compliance policies/processes and monitoring their implementation
- Dealing with internal auditors, system auditors, stock exchange inspection officials and SEBI officials
- Applying to various regulators for obtaining licenses/registrations, for new businesses of the Firm
CORE SKILLS & EXPERIENCE REQUIREMENTS
- Good Analytical abilities
- Knowledge of RBI/FEMA/NBFC regulations
- Inter personal skills, good & clear communication
- Logical & well defined thought process