Regulatory Compliance Specialist

18 hours ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 2,00,00,000

Job Title: Regulatory Compliance Specialist

Overview:

The incumbent for this role will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with regulations, stock exchange requirements, and internal frameworks. The role includes advising front-office personnel, monitoring trading activities, managing regulatory issues, and liaising with market infrastructure institutions.

Key Responsibilities:

  • 1. Regulatory Compliance
    • Ensure compliance with SEBI regulations, PMLA, insider trading regulations, and circulars issued by SEBI, NSE, and BSE.
    • Monitor adherence to rules on algorithmic trading, client onboarding, and institutional trade execution.
    • Track regulatory updates and implement necessary changes.
  • 2. Trade Surveillance & Monitoring
    • Monitor trades for potential market abuse, insider trading, and unusual patterns using surveillance tools.
    • Collaborate with teams to investigate unusual trading and generate Suspicious Transaction Reports.
  • 3. Compliance Monitoring
    • Act as the first point of contact for institutional equities desk staff on regulatory or compliance-related queries.
    • Provide guidance on interpretation and application of SEBI rules.
    • Conduct sample testing and periodic reviews of equity trades and related processes.
    • Maintain accurate records and documentation.
  • 4. Training & Awareness
    • Conduct training sessions for institutional equity desk staff on regulatory requirements and internal code of conduct.
  • 5. Internal & External Coordination
    • Support internal audits, inspections, and compliance reviews.
    • Work closely with Legal, Surveillance, KYC, and Risk teams to manage regulatory expectations.

Qualifications:

Education:

  • Graduate/Postgraduate in Law, Finance, or Commerce.
  • Additional certifications such as NISM Series IIIA or VII preferred.

Experience:

  • 5–8 years of relevant experience in compliance within Institutional Equities, Broking, or Investment Banking.
  • Experience dealing with SEBI, NSE, BSE, and knowledge of institutional investor categories.

Skills & Competencies:

  • Strong understanding of SEBI regulations, equity market structure, and institutional trading norms.
  • High integrity, attention to detail, and strong analytical ability.
  • Excellent communication skills.
  • Proficiency in MS Excel, Word, and exposure to trading/surveillance systems.

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