Market Compliance Leader

5 days ago

Mumbai, Maharashtra, India beBeeRegulator Full time ₹ 15,00,000 - ₹ 20,00,000
Job Title: Market Compliance LeaderLocation: MumbaiJob Description:We are seeking a seasoned Market Compliance Leader to spearhead disciplinary and regulatory processes in the BFSI/capital markets domain. The role involves managing a team, ensuring timely compliance with regulatory requirements, handling disciplinary proceedings against trading members, and collaborating with internal committees and external regulators.Key Responsibilities:
  • Lead a team of 5–6 officers, ensuring adherence to defined SLAs and regulatory timelines.
  • Oversee inspection report reviews, disciplinary proceedings, and preparation of cases for internal committees.
  • Verify and issue show cause notices, action letters, and penalty approvals.
  • Handle member queries, review requests, and appeals before higher authorities/SAT.
  • Collate and finalize regulatory data requests from SEBI, auditors, and other bodies.
  • Liaise with internal stakeholders (Compliance, Legal, Surveillance, IT, Committees) and external regulators (SEBI, EOW, MOF).
  • Contribute to process automation, MIS development, and overall business excellence initiatives.
Required Skills and Qualifications:
  • CS/CA/MBA/LLB (mandatory).
  • 13–15 years of experience in BFSI/Capital Markets with strong regulatory compliance exposure.
  • Knowledge of statutory requirements in financial markets.
  • Experience in presenting cases before Disciplinary Authorities, Committees, or SAT.
  • Strong analytical, communication, and presentation skills.
What's in it for You:
  • A dynamic and challenging leadership role in a leading market ecosystem.
  • Exposure to high-level regulatory interactions and disciplinary frameworks.
  • Collaborative and growth-oriented work culture.
  • Professional development and advancement opportunities.

 

If you are an experienced compliance/enforcement professional looking to take up a challenging leadership role in Mumbai, we'd love to connect.

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