13 Aug 2024
rwUi
Compliance Officer / Company Secretary, 2 to 6 years in Ahmedabad
Wealth First Portfolio
Ahmedabad
5-6 Years
Companies Act, Company Secretarial Functions, Regulatory Compliance, SEBI Regulations, Compliance
Job Description
Position: Compliance Officer / Company Secretary
Qualification: CS,LLB
Experience: 2 to 6 years
Location: Ahmedabad
Job description
Qualification: CS,LLB
Experience: 2 to 6 years
Location: Ahmedabad
Job description
We have a job opening for the post of Compliance Officer. He/she should be well-versed with the SEBI regulations specifically SEBI (Investment Advisers) Regulations, 2013, SEBI KYC Norms, and other applicable SEBI guidelines and also ensure our company adheres to it.
Anyone with a CS degree and base compliance knowledge will also do.
He/she would be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.
He/she should be professionals of high ethical standards and work diligently to complete their duties keeping in mind the objectives of the business.
Other Activities
- Assistance and dealing with Internal Auditors.
- Dealing with SEBI inspection and investigation, notices, etc.
- Providing disclosures, Declarations, forms, etc. within the time prescribed in the regulations to the clients.
- To update the Board, Management & employees about Changes in the SEBI regulations and Implementations of New provisions.
- Setting up the system of E-KYC as prescribed by the Regulator.
Required Candidate profile
- Excellent knowledge and experience implementing policies as per the SEBI Regulations and assisting CS too.
- Knowledge of auditing policies, procedures, and legal requirements.