Manager - Compliance

Mumbai

Job Summary

As a Compliance Manager, you will be responsible for overseeing and managing compliance across the Company’s business verticals, including stock broking, registered investment advisory, and distribution of investment products (mutual funds, bonds, FDs, etc.). You will ensure adherence to regulatory requirements and internal policies, while providing guidance on compliance matters to management and employees.

Key Responsibilities

Develop, implement, and oversee the compliance program to ensure adherence to SEBI regulations and circulars/mandates issued by other regulatory or quasi-regulatory bodies.
Monitor regulatory changes and update company policies and procedures accordingly.
Prepare and submit regulatory reports and filings to SEBI, stock exchanges, depositories, and other relevant bodies.
Liaise with regulatory authorities and respond to inquiries in a timely and accurate manner.
Investigate and resolve compliance-related issues, including internal and external complaints.
Prepare, review, and submit applications for licenses, registrations, and approvals.
Monitor and review transactions to identify potential compliance issues.
Conduct regular compliance reviews to detect and mitigate regulatory risks.
Develop and deliver compliance training programs to promote awareness of regulatory requirements and internal policies.
Collaborate with other departments to integrate compliance requirements into business processes.

Qualifications & Experience

Bachelor’s degree in Law, Company Secretary, or a related field.
5–7 years of experience in compliance roles within the stock broking and investment distribution industry.
In-depth knowledge of SCRA, SEBI regulations, and other relevant regulatory frameworks.
Experience with regulatory portals/platforms such as Member Portal, NSE ENIT, IMS, NMASS, etc.
Hands-on experience with day-to-day exchange compliance.
Understanding of Company Law compliance is an added advantage.
Strong analytical skills and attention to detail.
Excellent communication, interpersonal, and time-management skills.