Alice Blue Commodities

3 weeks ago


Bengaluru, India Alice Blue Commodities Pvt Ltd Full time

Assistant Manager - Compliance the RoleThe Assistant Manager Compliance will support the compliance function by ensuring adherence to SEBI and Exchange regulations, assisting in regulatory reporting, and coordinating with internal teams to maintain a strong compliance culture. This role is ideal for professionals with hands-on compliance experience who are looking to grow into leadership positions.Key Responsibilities- Assist in monitoring and ensuring compliance with SEBI, CDSL, NSE, BSE, and MCX regulations.- Prepare, review, and submit compliance reports, audit responses, and regulatory filings.- Coordinate with operations, risk, and audit teams for timely completion of compliance requirements.- Conduct periodic checks to identify compliance gaps and escalate issues as needed.- Support in responding to client and regulatory queries.- Maintain documentation and records of compliance policies, circulars, and internal guidelines.- Provide awareness and training sessions to employees on compliance updates.Qualifications & Skills- Graduate/Postgraduate in Finance, Commerce, or Law.- 4 to 7 years of experience in compliance, preferably in stock broking, trading, or capital markets.- Good knowledge of SEBI rules, exchange compliance, and depository guidelines.- Strong communication and documentation skills.- NISM certifications preferred (e.g., Series IIIA, VII).- Detail-oriented, proactive, and able to work in a fast-paced environment (ref:iimjobs.com)



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