Manager - Compliance

Job Summary

Key Responsibilities

• Develop, implement, and oversee the compliance program to ensure adherence to SEBI regulations and circulars/mandates issued by other regulatory or quasi-regulatory bodies.
• Monitor regulatory changes and update company policies and procedures accordingly.
• Prepare and submit regulatory reports and filings to SEBI, stock exchanges, depositories, and other relevant bodies.
• Liaise with regulatory authorities and respond to inquiries in a timely and accurate manner.
• Investigate and resolve compliance-related issues, including internal and external complaints.
• Prepare, review, and submit applications for licenses, registrations, and approvals.
• Monitor and review transactions to identify potential compliance issues.
• Conduct regular compliance reviews to detect and mitigate regulatory risks.
• Develop and deliver compliance training programs to promote awareness of regulatory requirements and internal policies.
• Collaborate with other departments to integrate compliance requirements into business processes.

Qualifications & Experience

• Bachelor s degree in Law, Company Secretary, or a related field.
• 5 7 years of experience in compliance roles within the stock broking and investment distribution industry.
• In-depth knowledge of SCRA, SEBI regulations, and other relevant regulatory frameworks.
• Experience with regulatory portals/platforms such as Member Portal, NSE ENIT, IMS, NMASS, etc.
• Hands-on experience with day-to-day exchange compliance.
• Understanding of Company Law compliance is an added advantage.
• Strong analytical skills and attention to detail.
• Excellent communication, interpersonal, and time-management skills.