
Compliance Specialist
2 days ago
Ensuring compliance is a critical aspect of any organization.
Key Responsibilities- Queries and alerts from exchanges, including peak margin, quarterly settlement, MTF, and CUSPA processes must be understood and addressed promptly.
- Audits mandated by NSE and BSE need to be handled effectively, while implementing the latest circulars issued by SEBI/Exchanges/Depositories/PFRDA.
- Compliance calendars must be maintained, disseminated to stakeholders, and submitted on time.
- On-site and off-site inspections with SEBI/stock exchanges require coordination.
- New product launches should be overseen, and new products and processes assisted in building.
- Governance dashboards must be monitored and discussed with management.
- Additional compliances need to be liaised with exchanges and internal teams.
This role demands strong analytical skills, attention to detail, and effective communication for seamless compliance operations.
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