Investor Services, Surveillance, Investigation, Listing Compliance and Compliance to statutory norms and regulations. To plan and implement internal capacity building and competence enhancement amongst staff employed in regulatory functions. 3 Leverage securities and financial market information
Managing Secretarial and Legal Compliance for the Group and Associate Companies. Handling Corporate Secretarial, Company Law & other applicable legal compliances. Extensive exp in conducting Legal Due Diligence, JVs, M&A, Overseas Acquisitions ...
and associated support functions, including advice on existing and new India banking and other applicable regulations. You will focus on India, but will be required to ensure a consistent approach with elements of our global compliance program. The position may require multiple exposure and involvement ...
1. Solve the query of clients regarding compliance as well as Back office Operational issues. 2. Communication with all the commodity exchanges regarding compliance and other issues. 3. Creation of CTCL ID and Direct ID Maintaining CTCL data in excel and update the same in Exchange Web host. Also
the actionable. Ensure that the accurate data is submitted for PHPC and various audit requirements. Data analysis and record keeping Working on ad-hoc projects and data analysis / report preparation for senior management meetings. Ensure that trackers are maintained accurately and share drive is updated
Should have Good knowledge with IPO Management, IPO Compliance. Should have knowldge in IPO Process. Should have good knowldge in SEBI Compliance. Candidate from Investment Banking sector or Merchant Banking of Capital Market would be preffered ...
on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements, promoting and enhancing a strong bank-wide compliance culture. Prevention of Money Laundering To handle Anti-Money Laundering (AML) issues for the Bank
regular training to employees on compliance matters, including internal policies and procedures, the application of standards and guidelines, and relevant laws and regulatory requirements, promoting and enhancing a strong bank-wide compliance culture. Prevention of Money Laundering To handle Anti-Money
and policies and procedures. Maintain a documented system of accounting policies and procedures Manage outsourced functions 2. Transactions Enabling a suitable structure and process, such that Accounts payable are paid in a timely manner, reasonable discounts are taken on accounts payable, accounts
andmeasurement of non-compliancePenalty and riskprojectionservice delivery and excellence objectives in adherence to legal standards andregulatory requirementsRegularlycommunicate with TRAI and DoT for latest updates and compliance requirementsCoordinatefor timely and accurate submission of TRAI reports through
the annual compliance work plan that outlines the banks risk areas and mitigations plans to handle the same 5. Work with various departments/ segments to guide them to perform business activities in compliance with laid out regulations 6. Work with various department / group heads and guide them
and quasi govt. agencies. Coordinate with Vendors to ensure compliance of Security Guard Board act. Secondary Activities Maintain records of bylaw infractions, permits, licenses, etc. Prepare reports on all latest amendments and brief the senior management ...
mechanisms (scorecards, dashboards, monthly management meetings) Requirements Relevant tertiary qualifications 10+ years experience in Risk, Compliance or Audit Strong exposure to local Indian laws and one or more of the following lines of business: Corporate & Investment Bank, Commercial Bank, Asset
related to Industrial relationship & Labor. To assist the administration on legal problems relating to personnel. To regularize all the working with regards to Personnel Management in view of the statutory provisions and Management guidelines from time to time. Skill Sets: Verbal Ability/Communication
registers are updated , assist in training the staff and updating of all compliance registers Desired Skills: 1. Should be excellent in MS Office (Excel, V lookup) 2. Extracting reports from Payroll Systems, analyzing results and reporting on findings. 3. Excellent interpersonal, organizational
will be beneficial. Language Requirements: • Proficient in verbal and written English Job Title: Associate, Compliance Department: Compliance Position Location: Mumbai Reporting: This position will report to the Executive Director – India Compliance Full/Part Time: Full Time
Experince- 6-10yrs Client is looking for : Experince-6-10yrs Regulatory, Internal & Legal Compliance: Ensure compliance of all Central and State Level statutes across the organisation, including all the branches of company . Implementation of Regulatory Guidelines by exchanges, policies ...