Compliance Manager - Financial Services (5-7 yrs)

Job Title : Compliance Specialist.

Department : Compliance.

Role Summary : We are seeking a meticulous and detail-oriented Compliance Specialist to ensure adherence to regulatory requirements, The ideal candidate will have a strong analytical mindset, a process-driven approach, and excellent communication and presentation skills.

Key Responsibilities :

- Regulatory Compliance: Implementation of circulars and guidelines issued by SEBI, Exchanges, and Depository Participants (DPs).

- Ensuring compliance with SEBI PIT Regulations and other Exchange/SEBI regulations.

- Regulatory Submissions and Communication: Managing regulatory submissions and addressing queries received from regulators.

- Ensuring submissions are accurate, adequate, and within prescribed timelines.

- Representing the organization to regulators on various issues.

- Internal Compliance Support: Responding to compliance queries from operations and business teams.

- Conducting compliance reviews of various products and processes.

- Ensuring compliance requirements are met in digital client onboarding processes.

- Monitoring and Reporting: Reviewing and enhancing MIS reporting on compliance-related aspects.

- Analytical and Process Improvement: Maintaining an analytical mindset to identify and mitigate compliance risks.

- Adopting a process-driven approach for seamless compliance management.

- Training and Collaboration: Promoting awareness of compliance requirements across teams.

- Supporting stakeholders with insights and best practices to uphold compliance standards.