Compliance Officer - BFS

- Develop and implement compliance policies and procedures that align with industry standards and regulatory requirements.

- Liasioning with VC Partners and Angel Investors for monthly reports, MIS and updates.

- Submission of various monthly/quarterly reports to Exchange & SEBI.

- Compliances under AML, PIT & KYC regulations specified by SEBI & RBI.

- Liasioning with Exchange and regulators for various matters.

- Vetting of Marketing Material as per MF/Stock broking regulations.

- Submission of ad hoc reports to SEBI, AMFI & RBI

- Vetting of Partnership Agreements

- Monitor regulatory developments and assess the impact on the company's operations.

- Conduct regular audits and reviews of the company's compliance programs to ensure that they are effective and up-to-date.

- Collaborate with the external stakeholders to provide guidance on regulatory requirements and develop strategies for Business.

- Provide training and education to employees on compliance matters and ensure that they understand the company's compliance policies and procedures.

- Investigate and resolve compliance-related issues and concerns raised by employees, customers, or regulators.

- Maintain accurate and up-to-date records of compliance-related activities, including audits, investigations, and training.

- Coordinate and communicate with external auditors and regulatory agencies as necessary