Samco Securities - Manager - Compliance - LLB/LLM (5-7 yrs)

We are seeking a detail-oriented Compliance Manager to ensure adherence to legal and regulatory requirements at Samco Securities Limited.

The role involves managing operational compliance, handling investor grievances, ensuring regulatory submissions, and supporting audits and inspections conducted by authorities like SEBI, NSE, and BSE.

Key Responsibilities:

- Investigate and resolve investor grievances/complaints promptly.

- Address and manage legal and arbitration cases effectively.

- Ensure full compliance under the SEBI Act, SCRA, and Bye-laws of NSE and BSE.

- Handle regulatory submissions and queries from stock exchanges like BSE and NSE.

- Attend and manage audits and inspections conducted by regulatory authorities, including pre- and post-inspection processes.

- Supervise and ensure compliance with retail broking and DP regulatory requirements.

- Advise internal teams on compliance issues regarding new and existing products offered by the company.

- Conduct compliance audits of business areas, monitor corrective actions, and implement a compliance monitoring system.

- Disseminate updates on changes in regulatory provisions and oversee their implementation.

Skills and Qualifications:

- Proven experience in regulatory compliance within the financial services or stockbroking industry.

- In-depth knowledge of SEBI regulations, SCRA, and stock exchange bylaws.

- Strong understanding of retail broking and DP compliance requirements.

- Excellent analytical, problem-solving, and communication skills.

- Ability to handle regulatory inspections, investigations, and audits effectively.

- Expertise in disseminating regulatory changes and implementing compliance systems.

- Bachelor's/Master's degree in Law, Finance, or a related field (professional certifications in compliance are an added advantage)