Clearing Operations Compliance Lead

1 day ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Compliance Specialist

Nuvama Group is seeking a skilled compliance professional to oversee regulatory compliance in Professional Clearing Member operations. This role requires a deep understanding of SEBI regulations, exchange requirements, and clearing processes.

  • Ensure compliance with SEBI, NSE, BSE, NCDEX, and MCX regulations applicable to Professional Clearing Members.
  • Monitor and manage day-to-day clearing compliance activities related to Professional Clearing Member.
  • Liaise with internal stakeholders and external regulators for audits, inspections, and inquiries.
  • Handle Internal Audits and Regulatory Inspections, coordinate with Regulators till closure of inspection including responses on queries/observations.
  • Track and interpret regulatory circulars, ensure timely implementation.
  • Maintain and update Policies, Manual, and SOPs as per the Regulatory and internal requirements.
  • Conduct periodic compliance reviews, risk assessments, and reporting for clearing operations.
  • KYC/AML Compliance: Ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations.
  • Handle regulatory filings and submissions in coordination with internal stakeholders and ensure accurate and timely submissions.
  • Monitor capital adequacy, margin reporting, and settlement obligations in line with PCM norms.
  • Coordinate with clients regarding compliance requirements and ensure adherence.
  • Lead or support internal training and awareness sessions on relevant compliance topics.

The ideal candidate will have 8-12 years of experience in Professional Clearing Member operations and compliance, with strong exposure to CS/CA/MBA qualifications.

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