Chief Compliance Specialist

4 days ago

Erode, Tamil Nadu, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,20,00,000

The Compliance Operations Officer is responsible for ensuring adherence to regulatory guidelines. This role requires coordination with multiple departments to maintain governance, investor protection, and risk management standards.

Key Responsibilities:
  • Regulatory Implementation & Monitoring
    • Ensure timely implementation of regulatory directives and guidelines.
    • Verify system configurations to ensure compliance with internal standards.
    • Develop monitoring mechanisms to detect discrepancies in contract notes and holdings.
    • Maintain the Compliance Calendar and submit regulatory filings.
    • Apply for statutory registrations and approvals required for operations.
  • Audit & Inspection Management
    • Prepare documentation and data for audits.
    • Coordinate with internal teams during audits, ensuring timely submission of data.
    • Conduct analysis of audit findings and escalate critical observations.
    • Implement corrective measures for identified compliance gaps.
  • Investor Complaint Management
    • Manage investor complaints received via direct channels.
    • Conduct analysis of complaints and prepare reports for review.
    • Ensure timely resolution of grievances in coordination with relevant departments.
  • Authorised Persons Compliance
    • Maintain records of Authorised Persons, including registration and termination.
  • Surveillance & Risk Monitoring
    • Facilitate timely resolution of surveillance alerts.
    • Coordinate with relevant departments and clients to address alerts effectively.
  • Back-Office & DP Operations Oversight
    • Oversee compliance aspects of Equity, FO, and DP back-office functions.
    • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and trade file processing.
    Qualifications:
    • Required: NISM-Series-III-A: Securities Intermediaries Compliance
    • Experience in compliance for a stock broking firm
    • Strong knowledge of regulatory compliance regulations
    • Hands-on experience in regulatory reporting, audits, and inspections
    • Exposure to investor grievance handling, arbitration, and AML standards
    • Excellent communication skills with strong negotiation abilities
    • High integrity, adaptability, and resilience in high-pressure environments

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