Clearing Regulatory Specialist

1 day ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Job Title: Compliance Professional

We are seeking a highly motivated and detail-oriented professional to oversee regulatory compliance within our operations.

  • Main Responsibilities:
  • Compliance Management: Ensure compliance with all applicable regulations, including SEBI, NSE, BSE, NCDEX, and MCX requirements.
  • Monitoring and Audits: Monitor and manage day-to-day clearing compliance activities related to Professional Clearing Members. Liaise with internal stakeholders and external regulators for audits, inspections, and inquiries.
  • Policy Implementation: Track and interpret regulatory circulars, ensuring timely implementation and maintenance of policies, manuals, and SOPs.
  • Compliance Reviews: Conduct periodic compliance reviews, risk assessments, and reporting for clearing operations.
  • Compliance Coordination: Ensure KYC/AML compliance and handle regulatory filings and submissions in coordination with internal stakeholders.
  • Client Support: Coordinate with clients regarding compliance requirements and ensure adherence.
  • Training and Awareness: Lead or support internal training and awareness sessions on relevant compliance topics.
Requirements:
  • Professional Experience: 8-12 years of experience in Professional Clearing Member (PCM) operations and compliance.
  • Regulatory Knowledge: Strong understanding of SEBI regulations, exchange requirements, and clearing processes.
  • Communication Skills: Excellent communication and interpersonal skills.

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