Senior Compliance Specialist

4 days ago

Alwar, Rajasthan, India beBeeCompliance Full time ₹ 19,35,040 - ₹ 26,11,520
Job Description

The role of the Compliance Officer at istaa-finserv is to ensure strict adherence to regulatory guidelines while managing inspections, investor complaints, surveillance alerts, and compliance reporting.

Responsibilities:
  • Ensure timely implementation of circulars, directives, and guidelines issued by regulatory bodies.
  • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
  • Develop monitoring mechanisms to detect discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain a Compliance Calendar and submit all regulatory filings on time.
  • Apply for, renew, and maintain statutory registrations and approvals required for operations.
Audit & Inspection Management
  • Prepare documentation and data for audits.
  • Coordinate with internal teams during audits and inspections.
  • Conduct analysis of audit findings and escalate critical observations.
  • Implement corrective measures for identified compliance gaps.
Investor Complaint Management
  • Manage investor complaints received via channels.
  • Conduct in-depth 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, termination, inspections, and periodic reporting.
Surveillance & Risk Monitoring
  • Facilitate timely resolution of surveillance alerts issued by exchanges or internal systems.
  • Coordinate with relevant departments and regulatory bodies to address alerts effectively.
Back-Office & Operations Oversight
  • Oversight day-to-day compliance aspects of back-office functions.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  • Liaise with 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.

  • Senior Regulatory Compliance Specialist

    1 week ago

    Alwar, Rajasthan, India beBeeRegulatory Full time ₹ 1,80,00,000 - ₹ 2,10,00,000

    Regulatory Compliance ProfessionalJob DescriptionThe Regulatory Compliance Professional plays a crucial role in ensuring adherence to regulatory requirements and maintaining a strong compliance culture within the organization.Key Responsibilities:Monitoring & Implementation: Continuously track and evaluate regulatory updates relevant to the organization,...

  • Compliance Expert

    2 days ago

    Alwar, Rajasthan, India beBeeCompliance Full time ₹ 1,11,42,060 - ₹ 2,46,19,105

    Job Description:We are seeking a seasoned Compliance Specialist to join our dynamic team. As a key member, you will be responsible for ensuring the company's compliance with all statutory and regulatory requirements.The ideal candidate will play a crucial role in advising senior leaders on corporate governance matters and ensuring that the company operates...

  • Senior Compliance Officer

    3 days ago

    Alwar, Rajasthan, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,00,00,000

    Compliance SpecialistWe are seeking a highly skilled and detail-oriented Compliance Specialist to join our team. The ideal candidate will have a strong background in regulatory compliance and experience working with financial institutions.Responsibilities:Monitor and report on ongoing compliance activities, ensuring timely submission of required filings and...

  • Senior Liaison Specialist

    3 days ago

    Alwar, Rajasthan, India beBeeLiaison Full time ₹ 10,00,000 - ₹ 15,00,000

    About this RoleWe are seeking a highly skilled Senior Liaison Specialist to join our team.Key ResponsibilitiesThe successful candidate will be responsible for liaising with Municipal authorities, Ward office, SRA, Government and Semi-Government Local bodies related to approvals.Additionally, the ideal candidate will have experience in handling...

  • Compliance Security Specialist

    1 week ago

    Alwar, Rajasthan, India beBeeCyberSecurity Full time ₹ 15,00,000 - ₹ 25,00,000

    Compliance Security SpecialistFICO seeks a seasoned Compliance Security Specialist to join our Governance, Risk and Compliance (GRC) team. This is a full-time regular position that offers a great opportunity for individuals with strong security compliance and risk management frameworks.Key Responsibilities:Conduct audits, certification programs, and control...

  • Enterprise Compliance Specialist

    1 week ago

    Alwar, Rajasthan, India beBeeCompliance Full time ₹ 2,50,00,000 - ₹ 4,00,00,000

    Compliance Manager PositionWe are seeking an experienced professional to spearhead our compliance content development strategy and lead a team of compliance developers.Key Responsibilities:Lead and mentor a team of 3-5 compliance content developersDevelop compliance strategy and roadmaps aligned with business objectives and market demandsDrive...

  • Corporate Compliance Specialist

    4 days ago

    Alwar, Rajasthan, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000

    Job Title: Corporate Compliance SpecialistAs a seasoned professional with extensive experience in information security audits, you will lead our team in conducting thorough assessments and providing expert recommendations to ensure compliance with industry standards.The ideal candidate will have a strong background in Governance, Risk Management and...

  • Compliance and Risk Management Specialist

    4 days ago

    Alwar, Rajasthan, India beBeeRiskManagement Full time ₹ 71,28,000 - ₹ 1,01,20,000

    Compliance and Risk Management Specialist Role OverviewWe are seeking a Compliance and Risk Management Specialist to drive organization-wide security governance, manage external certifications, support customer assurance processes, and ensure ongoing compliance with data protection and privacy regulations.Audit & Certification ManagementLead audits for SOC...

  • Senior Hydraulic Systems Specialist

    4 days ago

    Alwar, Rajasthan, India beBeeHydraulic Full time ₹ 16,04,480 - ₹ 25,37,600

    Job Title: Senior Hydraulic Systems SpecialistWe are seeking an experienced professional to design and develop complex hydraulic systems for large-scale industrial projects.This role requires expertise in hydraulics, proficiency in Creo, and a strong understanding of material properties, hose fittings, and manufacturing processes.The ideal candidate will...

  • Senior Commissioning Specialist

    6 days ago

    Alwar, Rajasthan, India beBeeQualification Full time ₹ 1,20,00,000 - ₹ 2,50,00,000

    Senior Commissioning SpecialistKey responsibilities include ensuring compliance with international regulations and standards, managing validation master plans, collaborating with cross-functional teams, leading and executing CQV activities for manufacturing equipment, utilities, and computerized systems, developing and reviewing CQV documentation.Key...