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Piyush Mahendru

MD at Employers4Employees

Last Login: 10 November 2024

Job Views:  
1809
Applications:  53
Recruiter Actions:  24

Job Code

617404

Head - Compliance - BFS

10 - 15 Years.Mumbai
Posted 6 years ago
Posted 6 years ago

- Compliance with Byelaws, Rules and Business Rules of the Exchange.

- Interpretation and implementation of various external and internal policies.

- Issuance of Circulars/Directives to the market participants.

- Ensuring compliances by the members with Byelaws, Rules, Business Rules and Circulars of the Exchange.

- Acting as single point contact for the Regulator.

- Attending Regulatory Inspections.

- Supervising Investor grievance cell and Arbitration Mechanism of the Exchange.

- Supervising Audit & Inspection of members of the Exchange.

- Ensuring compliance of Anti Money Laundering laws.

- Facilitation of SEBI Inspections.

Pre-requisites required :

- 10+ years of relevant experience with minimum 3 years as a Compliance Officer in the Stock Exchange.

- Should have worked in SEBI for atleast some time

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Posted By

user_img

Piyush Mahendru

MD at Employers4Employees

Last Login: 10 November 2024

Job Views:  
1809
Applications:  53
Recruiter Actions:  24

Job Code

617404

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