Job Role and Responsibilities:
- Monitor, interpret, and implement regulatory changes impacting stock broking operations, ensuring full compliance with applicable laws and guidelines.
- Act as a key liaison with regulators/exchanges (SEBI, NSE, BSE, etc.) for queries, approvals, submissions, and inspections.
- Ensure timely implementation of regulatory circulars, including policy formulation, dissemination, and tracking closure across business units.
- Provide end-to-end compliance advisory on: Account opening processes, KYC/AML requirements, Advertising and client communication guidelines
- Review and validate marketing/advertisement materials in line with regulatory codes and obtain necessary approvals.
- Oversee regulatory reporting and submissions, ensuring accuracy, completeness, and timeliness.
- Conduct periodic compliance reviews, audits, and risk assessments; highlight gaps and drive corrective actions.
- Prepare and present compliance MIS, dashboards, and updates to senior management and governance forums.
- Engage with internal stakeholders to ensure alignment of processes with regulatory requirements and internal policies.
- Participate in industry forums and represent the organization in regulatory discussions where required.
- Maintain robust documentation and audit trails for all compliance activities.
- Support inspection/audit responses and ensure closure of observations within defined timelines.
Qualification
- :Master's Degree in Business, Finance, Law; CA/CS or a related fiel
- dProfessional certifications such as CA / CS / CFA / FRM or certifications in Capital Markets/Audit/Compliance are preferred
.Experience & Skills
- :8–16 years of relevant experience in compliance, audit, or risk management within stock broking, capital markets, or financial services
- .Prior experience in handling regulatory interactions and inspections is essential
- .Experience in managing compliance frameworks in a high-paced, regulated environmen
- tStrong understanding of capital market regulations and broking compliance framework
- .High attention to detail and accuracy in interpreting regulatory guidelines
- .Strong analytical and problem-solving capabilities
- .Excellent stakeholder management and influencing skills across cross-functional teams
- .Effective communication and presentation skills (written and verbal)
- .Strong organizational and documentation skills
- .High level of integrity and ability to handle confidential information
- .Ability to work under tight timelines and manage multiple priorities
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