Compliance Manager – Regulatory & Audit-A

Job Title:

Location:

About The Role

meticulous and proactive Compliance Manager

Key Responsibilities

• Exchange Circular Compliance
• Monitor and interpret circulars, notifications, and directives issued by SEBI, NSE, BSE, and other regulatory authorities.
• Analyze the impact of new regulations on internal policies, systems, and business operations.
• Coordinate with cross-functional teams (e.g., trading, operations, IT) to implement changes arising from regulatory updates.
• Maintain and update a comprehensive Circular Tracker to record implementation status and audit trails.
• Draft, revise, and circulate internal SOPs and compliance manuals reflecting regulatory updates.
• Communicate regulatory changes across relevant departments in a clear, concise, and actionable format.
• Audit & Inspection Management
• Lead and coordinate internal audits, SEBI inspections, and exchange-appointed audits.
• Prepare, organize, and submit accurate and timely documentation to auditors and regulatory bodies.
• Collaborate with internal teams to address audit findings and implement corrective action plans.
• Maintain detailed audit logs, records, and compliance documentation for audit readiness.
• Ensure closure of audit observations and regulatory non-compliances within stipulated timelines.
• Conduct regular internal compliance checks to assess risk areas and strengthen compliance controls.
  

Qualifications & Skills

• Bachelor’s or Master’s degree in Law, Finance, Commerce, or Chartered Accountancy (CA).
• Minimum 5–6 years of experience in a compliance role within a brokerage, financial services firm, or stock exchange.
• In-depth knowledge of SEBI regulations, exchange guidelines (NSE/BSE), and regulatory compliance frameworks.
• Demonstrated experience in managing audits and regulatory inspections.
• Strong analytical and document management skills, with a keen eye for detail.
• Familiarity with compliance tracking systems and audit management tools is a plus.
• Excellent written and verbal communication skills for liaison with auditors, regulators, and internal teams.
  

Preferred Certifications

• NISM Series certifications (e.g., NISM-Series-III-A, NISM-Series-VII) are highly desirable.
  

What We Offer

• A dynamic and collaborative work environment.
• Opportunity to engage with leading regulatory bodies and play a critical role in governance.
• Professional growth in a highly regulated and evolving financial market landscape.