Compliance Specialist - Capital Markets

Roles and Responsibilities:

• Regulatory Compliance:
• Ensure adherence to SEBI regulations, RBI guidelines, and other relevant regulatory frameworks for institutional equities and capital markets.
• Stay updated with changes in laws, regulations, and guidelines impacting capital markets.
• Prepare, review, and submit regulatory filings and disclosures within stipulated timelines.
• Liaise with regulatory authorities (e.g., SEBI, RBI) on various compliance matters, inspections, and audits.
• Internal Policies and Procedures:
• Develop, implement, and monitor internal compliance policies and procedures to ensure regulatory adherence.
• Conduct periodic reviews and updates of compliance manuals, codes of conduct, and other governance documents.
• Oversee the internal audit process and ensure the closure of any compliance-related issues or gaps.
• Monitoring & Surveillance:
• Set up monitoring mechanisms to ensure compliance with internal policies, especially in trading, client onboarding, and reporting.

Qualifications:

• Education: Bachelors or Masters degree in Law, Finance, Business Administration, or related field.
• Regulatory Knowledge: Strong understanding of SEBI, and other relevant capital markets regulations.
• Attention to Detail: High level of accuracy in compliance monitoring and regulatory filings.
• Analytical Skills: Ability to analyze complex regulatory frameworks and operational data to ensure compliance.
• Communication: Strong verbal and written communication skills for interacting with regulators, clients, and internal stakeholders.
• Teamwork: Ability to work collaboratively with different business units, especially legal, risk, and operations teams.

• Technology: Familiarity with compliance management systems and surveillance tools for capital markets.