Compliance Expert
2 weeks ago
About Zuari Management Services Limited: As a wholly owned subsidiary of a leading organization, we offer a wide range of products and services to meet our customers' financial requirements, establishing a strong presence in the financial services sector.
Estimated Salary: ₹30-40 lakhs per annum
Job Summary: The Compliance Officer will oversee and manage all Compliance and Regulatory matters related to RTA & broking activities. This role is critical in ensuring that the organization operates in full compliance with applicable laws and regulations.
Key Responsibilities:
- Regulatory Compliance: Monitoring and ensuring compliance of circulars issued by various regulators like SEBI, RBI and stock exchanges like NSE, BSE, MCX; and regulations issued by NSDL/CDSL related to RTA & broking operations.
- Standard Operating Procedures (SOP): Developing and ensuring strict adherence to SOPs.
- Timely Compliance: Ensuring timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges, and Depository for filling of all returns, disclosures declarations form etc.
- Regulatory Inspections and Audits: Coordinating and managing all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.
- Communication: Sending new circulars issued by SEBI / Exchanges, information and important communication to all internal and external stakeholders.
Requirements:
- Experience: Minimum 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution.
- Knowledge: Deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking.
- Networking: Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants and Experts.
- Qualifications: Full-Time Bachelor's degree is a must & MBA degree is preferred.
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