Regulatory Compliance Specialist

11 hours ago


Ahmedabad, Gujarat, India Tip Sons Full time
Job Summary

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Tip Sons. As a key member of our compliance department, you will be responsible for ensuring strict adherence to SEBI guidelines and other relevant regulations governing our trading membership.

About the Role

This is an exciting opportunity to work with a leading company in the financial industry. As a Compliance Officer - Risk Management, you will play a crucial role in monitoring and tracking changes in legislation and the regulatory environment, and proactively taking appropriate action to ensure compliance.

  • Conduct periodic reviews to ensure compliance with exchange regulations, SEBI regulations, and Companies Act requirements.
  • Assist the legal and compliance team in organizing, preparing agendas for, and recording minutes of board meetings and general meetings.
  • Liaise with internal stakeholders to ensure compliance with all legal and regulatory requirements, including responding to queries and providing legal advice when necessary.
  • Maintain and update internal compliance documentation and records in accordance with regulatory requirements.
  • Assist in the preparation of compliance reports and documentation for regulatory authorities.
Requirements

To succeed in this role, you will need:

  • A minimum of 3-5 years of experience in SEBI compliance and legal compliance in a corporate or financial institution.
  • Strong understanding of SEBI guidelines, exchange regulations, and Companies Act.
  • Proficient in preparing agendas and recording accurate minutes of meetings, particularly board meetings and general meetings.
  • Ability to stay updated on changes in legislation and regulatory environments.
  • Excellent communication and interpersonal skills to interact with internal and external stakeholders.
  • Strong attention to detail and the ability to manage multiple compliance tasks simultaneously.
  • Experience in handling legal documentation and regulatory filings.
Salary

The estimated salary for this position is ₹1,200,000 per annum, commensurate with experience and qualifications.



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