Chief Regulatory Compliance Specialist

1 day ago

Tiruppur, Tamil Nadu, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 21,00,000

Job Overview

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The Compliance and Regulatory Professional plays a crucial role in ensuring that our organization adheres to strict regulatory guidelines and maintains high standards of governance, investor protection, and risk management.

">Key Responsibilities">Regulatory Implementation and Monitoring">
  • Ensure timely implementation of circulars, directives, and guidelines issued by SEBI, stock exchanges, and other regulatory bodies.
  • Verify system configurations for compliance with regulatory requirements and internal standards.
  • Develop monitoring mechanisms to detect and resolve discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain the Compliance Calendar and ensure timely submission of all regulatory filings.
  • Apply for, renew, and maintain statutory registrations and approvals required for broking and DP operations.
">Audit and Inspection Management">
  • Prepare documentation and data for audits and inspections.
  • Coordinate with internal teams during audits and inspections, ensuring timely submission of data.
  • Conduct analysis of audit findings and escalate critical observations to senior management/Compliance Officer-in-Charge.
  • Implement corrective and preventive measures for identified compliance gaps.
">Investor Complaint Management">
  • Manage investor complaints received via SMART ODR, SEBI SCORES, and direct channels.
  • Conduct analysis of complaints and prepare comprehensive reports for review by the Compliance Officer.
  • 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 in line with exchange regulations.
">Surveillance and Risk Monitoring">
  • Facilitate timely resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems.
  • Coordinate with relevant departments, clients, Authorised Persons, and regulatory bodies to address alerts effectively.
">Back-Office and DP Operations Oversight">
  • Oversee day-to-day compliance aspects of Equity, FO, and DP back-office functions.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  • Liaise with CDSL, Exchanges, Clearing Corporations, and intermediaries to ensure seamless compliance operations.
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Qualifications and Requirements

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  • 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.

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