Alice Blue Commodities

9 hours ago

Bengaluru, India Alice Blue Commodities Pvt Ltd Full time

Manager - Compliance the Role


The Manager Compliance will lead the compliance function, ensuring organizational adherence to SEBI and Exchange regulations, managing audits, and serving as the primary contact for regulators.

The role demands a senior professional with strong regulatory expertise, leadership skills, and the ability to drive compliance strategy at an organizational level.

Key Responsibilities

- Oversee compliance with SEBI, CDSL, NSE, BSE, and MCX rules and guidelines across the organization.

- Lead the design, implementation, and review of compliance frameworks, policies, and procedures.

- Act as the primary liaison with regulators, exchanges, and auditors.

- Manage regulatory reporting, inspection responses, and compliance audits.

- Identify compliance risks and recommend corrective actions to senior management.

- Conduct training programs and awareness sessions for employees and leadership.

- Track and interpret regulatory changes, advising business leaders on impact and necessary actions.

- Lead a team of compliance professionals, mentoring and guiding them on day-to-day & Skills

- Graduate/Postgraduate in Finance, Commerce, or Law (Chartered Accountant/CS/LLB preferred).

- 8+ years of compliance experience in financial services, broking, or capital markets.

- In-depth knowledge of SEBI regulations, depository operations, and stock exchange compliance.

- Proven experience in handling audits, inspections, and regulatory engagements.

- Strong leadership, analytical, and problem-solving skills.

- Excellent communication and stakeholder management abilities.

- Advanced certifications such as NISM, CFA, or FRM will be an added advantage

(ref:iimjobs.com)

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