Tip Sons - Compliance Officer

About the Job

• Ensure compliances with respect to SEBI guidelines.
• Monitor changes in relevant legislation and the regulatory environment and take appropriate action.
• Carry out periodic reviews to ensure legal compliances of trading membership (exchange compliances, SEBI compliances, Companies Act).
• Assist the team in organizing, preparing agendas, and recording minutes of board meetings and general meetings.
• Liaise with regulatory authorities, auditors, and internal teams to ensure smooth compliance management.
• Draft, review, and update compliance policies and frameworks as per regulatory requirements.
• Provide training and guidance to teams on compliance-related matters.

Skillsets Required

(ref : iimjobs.com)