Team Member - Compliance

Job Description:

• Maintain up-to-date knowledge of SEBI circulars and notifications relevant to depository operations.
• Review and drafting of all Regulatory policies.
• Drafting and review of all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc.
• Monitor changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiate implementation.
• Review and ensure maintaining accurate and up-to-date records of all regulatory correspondences and filings.
• Track and close audit findings related to compliance matters in a timely manner.
• Prepare compliance reports for internal stakeholders and the Board/Audit Committee.
• Conduct internal compliance reviews and support audits and inspections conducted by regulators.
• Act as a liaison with SEBI and other regulatory authorities for compliance-related matters.
• Coordinate with internal departments for data collation, report preparation, and compliance implementation.
• Ensure timely and accurate filings with SEBI under various regulations including LODR, PIT, and others.
• Implement, monitor, and periodically review the internal Code of Conduct and Insider Trading policies.
• Maintain trading windows and oversee pre-clearance and disclosures of trades by designated persons.
• Conduct training and awareness programs for employees and designated persons on Insider Trading norms.
• Any other responsibilities for ensuring/adding value to the compliance function.