Alice Blue Commodities

4 hours ago

Bengaluru, India Alice Blue Commodities Pvt Ltd Full time

Assistant Manager - Compliance the Role


The 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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