Regulatory Compliance Professional

2 days ago

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

Job Description:

As a key member of our team, the Compliance Specialist will be responsible for ensuring that our organization adheres to all relevant regulatory requirements and industry standards. This includes developing and implementing compliance plans, monitoring policies and procedures, and responding to regulator inquiries.

Responsibilities:

  • Develop, implement, and manage the company's Regulatory compliance requirements.
  • Conduct regular audits and risk assessments.
  • Implementation of all regulatory changes.
  • Stay updated with regulatory changes and ensure company policies are updated accordingly.
  • Prepare and submit compliance reports to regulatory bodies.
  • Collaborate with internal and external stakeholders to address compliance issues.
  • Ensuring SEBI compliances for Broking, Research Analyst, PMS, Depository Participant.
  • Co-ordinating with Exchanges, Depositories, SEBI for various inspections and responding to queries.
  • Co-ordinating with Internal auditors, systems/cyber auditors and various other audits.
  • Guiding the internal stakeholders w.r.t various SEBI and Exchange circulars and implementing policies and procedures accordingly.
  • Supervision over Regulatory function and ensure the TAT is followed.

Requirements:

  • Developing and maintaining compliance plans, related policies and procedures and promote and monitor compliance with these policies.
  • Responding to regulator inquiries including examinations, inspections and investigations as well as making various representations to Regulators for seeking clarifications on newly issued guidelines/circulars/regulations.

Working Conditions:

The ideal candidate will have excellent communication and organizational skills, with the ability to work effectively in a fast-paced environment. Strong analytical and problem-solving skills are essential for this role.

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