Custodian Compliance - Team Lead - Capital Markets

The Corporate - A very large Financial Services Group , with diversified BSFI business including NBFC , Merchant Banking , Direct Equities , Insurance Broking , AMC of PMS , AIF and MF. Now venturing into the Custodian Business

We are looking for a proactive and self-driven compliance professional to lead the compliance function for the Custody Business, ensuring adherence to applicable SEBI regulations, strengthening internal controls and managing regulatory requirements.

Key Responsibilities

• Oversee regulatory compliance and day-to-day custodial activities in line with SEBI (Custodian) Regulations.
• Lead and mentor the team handling asset safekeeping, clearing, settlement, reconciliation and corporate actions.
• Ensure timely regulatory filings and reporting to SEBI, NSDL, CDSL, NSE, BSE and Clearing Corporations.
• Monitor regulatory developments and ensure implementation of applicable regulatory changes.
• Conduct compliance reviews, internal audits and risk assessments to identify and address compliance gaps.
• Manage regulatory interactions, statutory audits and coordination with internal stakeholders.
• Develop, review and implement compliance policies, SOPs and internal control frameworks.
• Ensure adherence to requirements relating to asset segregation, FPI regulations and client asset protection.

Key Requirements

• 6–10+ years of experience in Custodian Compliance or Custody Operations within Indian Capital Markets.
• Prior experience in managing or leading a compliance/operations team.
• Strong knowledge of SEBI (Custodian) Regulations, Depository Rules, FPI Regulations and clearing and settlement processes.
• Understanding of Equity Cash and F&O markets, corporate actions, asset segregation and reconciliation.
• Experience in regulatory reporting, audits and regulatory inspections.
• Strong stakeholder management, leadership and problem-solving skills.
• A self-starter with the ability to independently manage responsibilities and drive compliance initiatives.

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