Senior Regulatory Compliance Specialist

8 hours ago

Kozhikode, Kerala, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 15,00,000

Job Title:

Compliance Officer Role

The Compliance Operations Specialist plays a key role in ensuring adherence to regulatory guidelines, managing inspections, investor complaints, surveillance alerts, and compliance reporting. This position requires close coordination with multiple departments to maintain high standards of governance, investor protection, and risk management.

Key Responsibilities:

  • Regulatory Implementation & Monitoring
    • Implement circulars, directives, and guidelines issued by regulatory bodies in a timely and effective manner.
    • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
    • Develop monitoring mechanisms to detect 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 operations.
  • Audit & 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 observations to senior management.
    • Implement corrective and preventive measures for identified compliance gaps.
  • Investor Complaint Management
    • Manage investor complaints received via direct channels.
    • Conduct in-depth analysis of complaints and prepare reports for review.
    • 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.
  • Surveillance & Risk Monitoring
    • Facilitate timely and accurate resolution of surveillance alerts.
    • Coordinate with relevant departments and regulatory bodies to address alerts effectively.
  • Oversight of Back-Office Functions
    • Oversee day-to-day compliance aspects of back-office functions.
    • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.

Required Skills & Qualifications:

  • Required: NISM-Series-III-A: Securities Intermediaries Compliance certification.
  • Experience in compliance for stock broking firm.
  • Strong knowledge of regulatory 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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