Compliance Manager - NBFC

Location - Goregaon (East), Mumbai

No. of positions - 01

Experience - 4-8 years

Salary - CTC upto 10 lacs p.a.

Responsibilities:

- Managing and heading the compliance, legal and secretarial department

- Preparation & timely submission of various forms, reports and other documents to Exchanges/Depositories

- Ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time

- Investor Grievances as per regulatory guidelines

- Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.

- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines with Exchanges, Depositories for routine matters

- Any other compliance, legal and secretarial matters as assigned from time to time