Manage compliance frameworks and ensure adherence to regulatory guidelines for a broking and investment business, including audits and training programs.
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
Top Skills
Bse
Nse
Sebi
Dream Sports Mumbai, Maharashtra, IND Office
Peninsula Business Park, Mumbai, Maharashtra, India, 400013
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