Regulatory Compliance Specialist

7 days ago


Delhi, Delhi, India Zuari Management Services Limited Full time

About Company: Zuari Management Services Limited is a wholly owned subsidiary of a listed organization offering a wide range of products and services to meet its customer's financial requirements and establishing a strong presence in the financial services sector.


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:

  • Monitoring and ensuring compliance of circulars issued by various regulators like SEBI, RBI, and issued by stock exchanges like NSE, BSE, MCX; and regulations issued by NSDL/CDSL related to RTA & broking operations.
  • Developing standard operating procedures (SOP) and ensuring strict adherence.
  • 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.
  • Coordinating and managing all regulatory inspections and audits both internal, external, and of all exchanges on regular/periodic basis.
  • Sending new circulars issued by SEBI / Exchanges, information, and important communication to all internal and external stakeholders.
  • Minimum 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution.
  • Deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking.
  • Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants, and Experts.
  • Full-Time Bachelor's degree is a must & MBA degree is preferred.


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