RTA Compliance & Governance Lead

Key Responsibilities

• Ensure end-to-end compliance with SEBI (RTA) Regulations, 1993.
• Act as officer-in-charge for SEBI and regulatory coordination.
• Supervise investor servicing activities including application handling, allotment processing, share transfers, redemptions, and corporate actions.
• Implement and monitor KYC, AML, data protection, and compliance frameworks.
• Lead internal control, governance, risk management, and audit readiness processes.
• Coordinate with issuers, depositories, stock exchanges, and regulatory authorities.
• Track regulatory updates and ensure timely implementation.
• Report material compliance and governance matters to senior management.