
Regulatory Compliance Specialist
4 days ago
As a Compliance Manager, you will play a pivotal role in ensuring adherence to regulatory requirements.
Key Responsibilities:- Understand and address queries/alerts from exchanges related to margin management, quarterly settlements, multilateral trading facilities, and custodial processes.
- Handle audits mandated by stock exchanges, staying up-to-date with the latest circulars issued by regulatory bodies.
- Prepare and disseminate compliance calendars to stakeholders, ensuring timely submissions and maintaining regulatory accountability.
- Coordinate on-site and off-site inspections by regulatory agencies and exchanges.
- Oversee new product launches and assist in building innovative products and processes.
- Maintain a monthly governance dashboard and discuss it with senior management.
- Liaise with regulatory bodies and internal teams to ensure seamless compliance.
- Pursue additional compliances such as segment activation and software approvals.
- Strong understanding of regulatory frameworks and compliance procedures.
- Excellent communication and interpersonal skills.
- Ability to analyze complex data and make informed decisions.
- Proven track record of ensuring regulatory compliance.
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Regulatory Compliance Specialist
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Business Regulatory Specialist
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