Deadline
Open Deadline
Location
Noida Sector 16B, Office Number 6A, Max Towers, Sector 16B, Noida, Uttar Pradesh 201301, IN
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
Plus Wealth Capital Management LLP is a proprietary quantitative high frequency trading firm established in 2008 and has grown from a small group of 5 individuals to a firm of over 60 professionals working as equity researchers, quantitative analysts, traders and technologists.
Details of the Job/Internship
PlusWealth Capital Management LLP is seeking a Compliance Manager to join its Noida office.
Role and Responsibilities
- Manage compliance activities related to Stock Broker and Depository Participant regulations, ensuring adherence to SEBI, Stock Exchanges, Depositories, KRA, CKYC CERSAI, FIU, IFSCA, MCA, ROC, GIFT Authority, SEZ Operations, and Alternative Investment Fund (AIF) Category-3 guidelines.
- Regularly coordinate with regulators, auditors, custodians, tax consultants, RTAs, investors, vendors, and consultants.
- Oversee daily, monthly, quarterly, half-yearly, and annual compliance requirements for AIF, stock broking, and depository participant operations, ensuring timely submissions to SEBI, IFSCA, Stock Exchanges, CDSL, MCA, custodians, fund accountants, tax consultants, auditors, and investors.
- Ensure the smooth execution of audits, inspections, and investigations conducted by SEBI, IFSCA, Stock Exchanges, Depositories, and other regulatory bodies, whether scheduled or ad hoc.
- Address ad hoc regulatory queries from SEBI, IFSCA, GIFT Authority, Stock Exchanges’ Investigation/Surveillance Divisions, Depositories, KRA, CERSAI, CKYC, FIU, as well as internal stakeholders including clients, investors, RMS, trading, and accounts divisions.
- Monitor official communication channels daily to ensure prompt response to regulatory and compliance-related matters.
- Engage with auditors, inspecting officials, stakeholders, vendors, and consultants regularly to maintain compliance standards.
- Supervise and oversee daily compliance and Depository Participant (DP) department tasks, ensuring adherence to all regulatory and operational requirements.
Salary/Stipend
Compensation details will be finalized during the interview process with the selected candidate.
Type of Opportunity
Fulltime
Country
India
Address
Noida Sector 16B, Office Number 6A, Max Towers, Sector 16B, Noida, Uttar Pradesh 201301, IN
Application and Registration Details
After you apply, you will receive the next steps of the application process via email.
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Would you like to apply immediately?
Once you apply, the next steps in the application process will be sent to you via e-mail.
