Compliance Manager

3 days ago

Bengaluru, India Iifl Samasta Full time

Regulatory Compliance:

  • Responsible for regulatory compliance - Ensure compliance with all rules, regulations, byelaws, circulars and other guidelines, issued from time to time, by the exchanges, depositories, SEBI, and other regulatory bodies.
  • Maintenance of process documents (SOPs), Policies, trackers for ensuring adequate records are in place for easy data extraction, and carryout relevant updations in the same from time to time
  • Handle preparation, reporting and submission of necessary reports and documents to the relevant authorities in an accurate and timely manner.
  • Liaising with Exchanges, Depositories for routine matters
  • Circular Tracking and Implementation:
  • Track and interpret circulars from all concerned regulatory bodies and conduct discussions with all stakeholders.
  • Carry out the relevant changes in the processes / documents in line with the regulatory circulars / guidelines
  • Oversee the end to end implementation of necessary changes.

Data Analysis and Compliance Assurance:

  • Perform data analysis to ensure accurate reporting to regulators and exchanges.
  • Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements.

Audit and Inspection Handling:Manage all internal and external audits and inspections including data collation, data verification, data submission and observation responses for various audits and inspection of the broking and DP business.Serve as the primary point of contact for auditors and inspection officials.Prepare and present audit reports and compliance findings for review by senior management.Management Information System (MIS) Tracking:Analyze MIS data to support compliance and regulatory reporting.Qualifications:Bachelors degree in Finance, Business Administration, or a related field. Advanced degrees or certifications in compliance or regulatory affairs are a plus.Experience :3-10 YrsProven experience in regulatory compliance, preferably within the financial sectorPreferred Skills:In-depth knowledge of SEBI regulations and other relevant financial regulations.Experience with business requirement drafting and system implementation.Proven ability to handle audits and inspections successfully.

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