Regulatory Compliance Specialist

2 days ago

Ranchi, Jharkhand, India beBeeCompliance Full time ₹ 1,04,000 - ₹ 1,30,878

Regulatory Compliance Specialist

Job Overview

We are seeking an experienced and detail-oriented Regulatory Compliance Specialist to manage and oversee all regulatory, legal, and compliance matters in our business.

The Regulatory Compliance Specialist will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture.

Main Responsibilities:

- Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.
- Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.
- Monitor day-to-day operational activities to identify potential regulatory risks.
- File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.
- Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.
- Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.
- Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.
- Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.
- Maintain and update compliance manuals and records in accordance with statutory requirements.
- Report compliance breaches or potential risks to senior management and recommend corrective measures.
Qualifications & Requirements:

- Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).
- Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.
- Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.
- Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.
- Excellent communication, analytical, and problem-solving skills.
- Ability to handle regulatory inspections and audits independently.
Key Skills:

• Regulatory & Statutory Compliance
• Attention to Detail
• Risk Management & Internal Control
• Reporting & Documentation
• Stakeholder Coordination
• Ethics & Integrity
Reporting Structure:

- The Regulatory Compliance Specialist will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators.
Location:

- Ranchi - Jharkhand
Employment Type:

- Full-time, On-site

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