Compliance Manager/Head_Gurgaon

1. Have a deep understanding of the SEBI compliance checklist/master circular for PMSes.
2. Be on top and implement new circulars by being able to interact with SEBI/APMI.
3. Maintain a lead compliance of client wise stock ledger, EKYC dockets, POAs, Agreements, risk surveys. Ensure the dockets are in order per law.
4. Ensure all stock trades are in compliance.
5. Prepare and file monthly, quarterly and annual compliance docs with SEBI.
6. Lead and interact with SEBI auditors to facilitate preparation of compliance docs wherever necessary
7. Be able to update disclosure document and any filings with SEBI.
8. Help resolve documentation compliance and trouble shoot with clients.
9. Update and keep track of SCORES, CKYC, CVLKRA.
10. Good oral and written communication is a must.