Compliance Specialist

22 hours ago


Anantapur, Andhra Pradesh, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000
Job Title:

A Compliance Specialist with expertise in regulatory operations is required to manage the firm's adherence to regulatory guidelines.

Main Responsibilities:
  • Ensure timely implementation of circulars, directives, and guidelines issued by regulatory bodies.
  • Verify system configurations to ensure compliance with internal standards.
  • Develop monitoring mechanisms to detect discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain the Compliance Calendar and submit regulatory filings on time.
  • Apply for, renew, and maintain statutory registrations required for broking and DP operations.
Key Compliance Areas:
  • Regulatory Implementation & Monitoring
  • Audit & Inspection Management
  • Investor Complaint Management
  • Authorised Persons Compliance
  • Surveillance & Risk Monitoring
  • Back-Office & DP Operations Oversight
Qualifications:
  • NISM-Series-III-A: Securities Intermediaries Compliance certification is mandatory.
  • Experience in compliance for stock broking firms is preferred.
  • 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 communication skills with strong negotiation and persuasion abilities.
  • High integrity, adaptability, and resilience in high-pressure environments.


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