Assistant Manager

2 weeks ago

Mumbai, Maharashtra, India Istaa Finserv Full time

The Compliance & Regulatory Operations Officer is responsible for ensuring strict adherence to SEBI, exchange, and regulatory guidelines, while managing inspections, investor complaints, surveillance alerts, and compliance reporting. The role requires close coordination with multiple departments to maintain high standards of governance, investor protection, and risk management.

Responsibilities

1. Regulatory Implementation & Monitoring

  • Ensure timely and effective implementation of circulars, directives, and guidelines issued by SEBI, stock exchanges, and other regulatory bodies.
  • Verify IBT, CTCL, and other system configurations to ensure compliance with regulatory requirements and internal standards.
  • Develop and implement monitoring mechanisms to detect and resolve discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain the Compliance Calendar and ensure timely submission of all regulatory filings.
  • Apply for, renew, and maintain all statutory registrations and approvals required for broking and DP operations.

2. Audit & Inspection Management

  • Prepare and compile documentation and data for Cyber, Internal, and Regulatory audits.
  • Coordinate with internal teams during audits and inspections, ensuring timely submission of data.
  • Conduct detailed analysis of audit findings and escalate critical observations to the senior management/Compliance Officer-in-Charge.
  • Implement corrective and preventive measures for identified compliance gaps.

3. Investor Complaint Management

  • Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels.
  • Conduct in-depth analysis of complaints and prepare comprehensive reports for review by the Compliance Officer.
  • Ensure timely resolution of grievances in coordination with relevant departments.

4. Authorised Persons Compliance

  • Maintain complete records of Authorised Persons including registration, termination, inspections, and periodic reporting in line with exchange regulations.

5. Surveillance & Risk Monitoring

  • Facilitate timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems.
  • Coordinate with relevant departments, clients, Authorised Persons, and regulatory bodies to address alerts effectively.

6. Back-Office & DP Operations Oversight

  • Oversee day-to-day compliance aspects of Equity, FO, and DP back-office functions.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  • Liaise with CDSL, Exchanges, Clearing Corporations, and other intermediaries to ensure seamless compliance operations.

Qualifications

  • Required: NISM-Series-III-A: Securities Intermediaries Compliance
  • Experience in compliance for stock broking firm
  • Strong knowledge of SEBI, Exchanges, and Depositories compliance regulations.
  • Hands-on experience in regulatory reporting, audits, and inspections.
  • Exposure to investor grievance handling, arbitration, and AML standards.
  • Excellent oral and written communication skills with strong negotiation and persuasion abilities.
  • High integrity, adaptability, and resilience in high-pressure environments.

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