Lead compliance operations and regulatory adherence in a dynamic financial environment, partnering with cross-functional teams to mitigate risks and ensure compliance.
Your Role
Develop, implement and monitor internal compliance frameworks, policies and controls to ensure regulatory adherence
Ensure adherence to regulatory reporting, surveillance and timely submission of statutory returns with accuracy and completeness
Lead day-to-day compliance operations for the broking and investment business, ensuring alignment with SEBI, NSE, BSE and other regulatory guidelines
Maintain and track a comprehensive compliance calendar covering SEBI, exchange and internal requirements
Support periodic employee training and awareness programs on compliance obligations
Partner with business, product and legal teams to assess regulatory risks and ensure compliant execution of new initiatives
Serve as a key liaison during regulatory audits, inspections and inquiries, ensuring clear communication and timely responses
Qualifiers
4+ years of experience in compliance within banking or financial services
Experience working with or supporting online broking platforms
Strong understanding of SEBI, NSE, and BSE regulatory guidelines
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