Compliance Manager - Securities Trading (4-10 yrs)

We are looking forward for a suitable candidate for the position of Compliance Manager role for the Trading Desk based in Mumbai Location.

Key Responsibilities:

- Regulatory Compliance: Ensure compliance with SEBI, stock exchange rules, and other laws; monitor regulatory changes and submit timely reports.

- Internal Controls: Develop and maintain compliance policies, conduct audits, and assess compliance risks.

- Risk Management: Identify and address compliance risks, ensure controls are in place, and mitigate non-compliance issues.

- Training & Awareness: Conduct employee training on regulatory requirements, company policies, and ethics.

- Monitoring & Reporting: Track trading activities, report suspicious actions, and update senior management on compliance status.

- Liaison with Regulators: Serve as the contact with regulators (SEBI, exchanges), manage audits, and ensure timely document submission.

- Client Compliance: Ensure clients meet KYC, AML norms, and monitor accounts for regulatory compliance.

Key Skills and Qualifications:

- Education: Degree in Law, Finance, Business, or related field; compliance certifications (e.g., NISM) are a plus.

- Experience: 3-5 years as a Compliance Officer, ideally in stock broking or financial services.

- Technical Skills: Familiarity with financial reporting, risk management, and compliance tools; proficiency in MS Office.

- Soft Skills: Strong analytical, communication, and problem-solving skills; high integrity and attention to detail.

Preferred Qualifications:

- Certification in Regulatory Compliance (NISM, etc.)

- Knowledge of global compliance standards.

- Experience with NSE, BSE, and other exchanges.

Interested candidates may send your resume or call on 8369906992 for more queries on the same.

Shirin