Job Role and Responsibilities
- Handle onsite and offsite inspections conducted by SEBI and Stock Exchanges, including preparation, coordination, and closure of observations.
- Manage compliance and regulatory audits for broking and non broking entities and ensure timely resolution of audit findings.
- Conduct periodic compliance audits to ensure adherence to applicable laws, regulations, circulars, and internal policies.
- Identify, assess, and evaluate potential compliance risks and recommend appropriate mitigation strategies.
- Review, update, and implement compliance policies, procedures, and manuals in line with regulatory changes and best practices.
- Maintain comprehensive documentation and records related to compliance activities, audit findings, investigations, and corrective actions.
- Develop and deliver compliance training programs to employees to enhance regulatory awareness and adherence.
- Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management.
- Conduct investigations into potential compliance breaches, assess violations, and recommend corrective and preventive actions.
- Collaborate closely with internal stakeholders across departments to support compliance initiatives and ensure organizational alignment.
- Support regulatory reporting requirements and respond to regulatory queries in a timely and accurate manner.
Qualification
- CA / CS / CA Inter / Master's degree or equivalent professional qualification.
- Certifications in Capital Markets or prior experience in regulatory inspections and audits will be an added advantage
Experience and Skills
- 2 8 years of relevant experience in stock broking compliance or regulatory compliance roles.
- In depth understanding of SEBI regulations, Stock Exchange guidelines, and capital market compliance frameworks.
- Strong analytical skills with the ability to interpret regulatory changes and assess their impact on business processes.
- Excellent written and verbal communication skills with the ability to interact with regulators and senior stakeholders.
- High attention to detail and accuracy in reviewing documentation and assessing compliance.
- Demonstrated integrity, discretion, and ability to handle sensitive and confidential information.
- Strong decision making and problem solving capabilities with the ability to guide internal teams.
Proficiency in compliance management tools and MS Office applications, especially Excel and reporting dashboard
