Senior Regulatory Compliance Specialist

2 weeks ago

Pushkar, Rajasthan, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000
Compliance and Regulatory Operations Officer

This role plays a crucial part in ensuring adherence to regulatory guidelines, overseeing inspections, investor complaints, surveillance alerts, and compliance reporting.

Key Responsibilities:
  • Regulatory Implementation and Monitoring
    • Ensure timely implementation of circulars, directives, and guidelines issued by regulatory bodies.
    • Verify system configurations to ensure compliance with internal standards and regulatory requirements.
    • Develop monitoring mechanisms to detect and resolve discrepancies in contract notes, margin statements, client segregation, and holdings.
    • Maintain the Compliance Calendar and submit all regulatory filings on time.
    • Apply for, renew, and maintain statutory registrations and approvals required for broking operations.
  • Audit and Inspection Management
    • Prepare documentation and data for audits and inspections.
    • Coordinate with internal teams during audits and inspections.
    • Conduct detailed analysis of audit findings and escalate critical observations.
    • Implement corrective measures for identified compliance gaps.
  • Investor Complaint Management
    • Manage investor complaints received via direct channels.
    • Conduct in-depth analysis of complaints and prepare comprehensive reports.
    • Ensure timely resolution of grievances in coordination with relevant departments.
  • Authorised Persons Compliance
    • Maintain records of Authorised Persons including registration, termination, inspections, and periodic reporting.
  • Surveillance and Risk Monitoring
    • Facilitate timely resolution of surveillance alerts issued by exchanges or internal systems.
    • Coordinate with relevant departments and regulatory bodies to address alerts effectively.
  • Back-Office and DP Operations Oversight
    • Oversee compliance aspects of Equity, FO, and DP back-office functions.
    • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
    • Liaise with regulatory bodies and intermediaries to ensure seamless compliance operations.

Key Qualifications:

  • NISM-Series-III-A: Securities Intermediaries Compliance certification.
  • Experience in compliance for stock broking firms.
  • 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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