Overview
Compliance Officer – Custodian & DDP Jobs in Mumbai, Maharashtra, India at Nuvama Group
Job Summary
We are seeking a highly skilled and experienced Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring that our company complies with all relevant laws, regulations, and guidelines issued by SEBI, RBI, exchanges, and other regulatory authorities.
Experience :
Minimum 10 years
Knowledge & Skills:
– SEBI regulations and guidelines, including FPI regulations
– RBI guidelines and regulations, including NDI and ND rules
– Exchange rules and regulations
– Functioning of Designated Depository Participants (DDPs)
– Other applicable laws and regulations
Job Description:
1. Compliance Monitoring:
Monitor and ensure compliance with SEBI regulations, RBI guidelines, exchange rules, and other applicable laws and regulations.
2.
Risk Management:
Identify, assess, and mitigate compliance risks associated with our business activities.
3. Regulatory Reporting:
Prepare and submit regulatory reports to SEBI, RBI, exchanges, and other regulatory authorities.
4. Client Onboarding:
Ensure that client onboarding processes comply with regulatory requirements, including KYC and AML.
5. Internal Audits:
Conduct internal audits to ensure compliance with regulatory requirements and internal policies.
6. Policy Development and Implementation – Develop and implement compliance policies and procedural Manuals
7. Regulatory Updates:
Stay updated on regulatory changes and ensure that our company’s policies and procedures are aligned with these changes.
8. Handle and Manage Regulatory Inspections
9. Training and Awareness:
Provide training and awareness programs for employees on compliance policies and procedures.
Title: Compliance Officer – Custodian & DDP
Company: Nuvama Group
Location: Mumbai, Maharashtra, India
Category: Finance & Banking (Regulatory Compliance Specialist, Financial Crime), Law/Legal (Regulatory Compliance Specialist, Financial Crime)
