Senior Compliance Specialist

4 weeks ago


Delhi, Delhi, India Zuari Management Services Limited Full time

About Zuari Management Services Limited: We are a leading player in the financial services sector, offering a wide range of products and services to meet our customers' needs. Our company has a strong reputation for its commitment to compliance and regulatory affairs.

Job Description: We are seeking a highly skilled Financial Regulations Manager who will be responsible for overseeing and managing all Compliance and Regulatory matters related to RTA & broking activities. The ideal candidate will possess a deep understanding of SEBI regulations, guidelines, and best practices.

Key Responsibilities:

  1. Regulatory Framework: Develop and maintain a comprehensive understanding of regulatory frameworks and guidelines related to RTA & broking operations.
  2. Compliance Risk Management: Identify and mitigate compliance risks associated with RTA & broking activities.
  3. Internal Controls: Establish and maintain effective internal controls to ensure compliance with regulatory requirements.
  4. Audit and Inspection: Coordinate and manage all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.

Requirements: To be successful in this role, you will need at least 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution. You should have deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking. Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants and Experts is also required. A full-Time Bachelor's degree is a must & MBA degree is preferred.

Estimated Salary: ₹50 Lakhs - ₹70 Lakhs per annum depending on your experience and qualifications.



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