Manager - Compliance - Broking/Investment & Securities (4-6 yrs)

Compliance Department.

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

- Maintaining an analytical mindset to identify and mitigate compliance risks.

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

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

- Key Skills and Competencies: Regulatory Knowledge: Strong understanding of SEBI, Exchange, and DP regulations.

- Analytical Skills: Ability to analyze and interpret regulatory updates, guidelines, and circulars.

- Communication: Strong written and verbal communication skills, with the ability to articulate regulatory requirements to diverse stakeholders.

- Soft Skills: Collaborative mindset, attention to detail, and excellent presentation skills.

- Process-Oriented: Experience in creating and maintaining standard operating procedures (SOPs) and driving process improvements.

- Technology Proficiency: Familiarity with digital client onboarding processes and related compliance aspects.