Manager - Compliance - BFSI (10-14 yrs)

Exchange compliances background, specially the periodical requirements of mcx, nse, bse. Manage audit queries and liaise with exchange as and when required.

Key Responsibilities:

1. Regulatory Compliance & Reporting:

- Ensure strict adherence to SEBI regulations, stock exchange rules, and other regulatory requirements related to stock broking.

- Oversee SEBI and stock exchange reporting requirements, ensuring timely and accurate submissions.

- Keep abreast of any changes in regulatory requirements and update compliance practices

accordingly.

2. Policy Development & Implementation:

- Develop and implement compliance policies and procedures to prevent violations and ensure the organization's adherence to stock market regulations.

- Conduct regular reviews and updates to compliance policies, adapting to changes in the regulatory landscape.

3. Audit & Inspection Management:

- Manage all aspects of stock exchange inspections, including coordinating responses to inspection queries and follow-ups.

- Conduct internal audits and mock inspections to identify potential compliance gaps, preparing the team for official inspections and reviews.

- Collaborate with auditors and regulators, ensuring transparency and efficient audit processes.

4. Risk Management:

- Perform regular compliance risk assessments to identify, analyze, and mitigate potential risks associated with stock broking activities.

- Work closely with the risk management and internal audit teams to monitor compliance-related risks.

5. Training & Development:

- Lead the development and delivery of compliance training programs to educate employees on regulatory requirements and promote compliance awareness.

- Stay current on compliance trends and regulatory changes, and provide insights to staff to ensure continued compliance.

6. Internal Reporting & Collaboration:

- Report on compliance activities, issues, and updates to senior management and board members, maintaining an open line of communication on compliance matters.

- Collaborate with various departments (legal, finance, operations) to ensure integrated compliance efforts across the organization.

Qualifications:

- Bachelors or Masters degree in Finance, Law, Business Administration, or related field.

- Minimum of 10-12 years of experience in compliance, with a focus on stock broking and stock exchange regulatory requirements.

- Extensive experience in managing SEBI compliance, stock exchange inspections, and regulatory reporting.

- Strong understanding of the stock market, SEBI regulations, and risk management principles.

- Excellent leadership and communication skills, with the ability to influence and drive compliance initiatives.