
Regulatory Compliance Specialist
1 day ago
This role will be responsible for ensuring the company's compliance with all regulatory requirements.
- Key Responsibilities:
- Understanding of Peak margin, Quarterly settlement, MTF, CUSIP process to address queries/alerts from the Exchange.
- Handling of Audits mandated by NSE and BSE
- Implementing latest circulars issued by SEBI/Exchanges/Depositories/PFRDA and timely follow-up with respective stakeholders to ensure compliance.
- Preparing and disseminating Compliance calendar to respective stakeholders and ensuring timely submission.
- Handling On-site and Off-site Inspections of SEBI/stock exchanges.
- Overseeing new product launches and assisting the team in building new products and processes.
- Maintaining Monthly Governance Dashboard and discussing the same with Management.
- Liaising with the Exchange and internal teams
- Additional Compliances like Segment Activation, Software approvals etc.
Required Skills and Qualifications:
- Strong understanding of regulatory requirements
- Excellent communication and interpersonal skills
- Ability to work in a fast-paced environment
- Proactive approach to compliance
- High level of accuracy and attention to detail
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