Regulatory Compliance Specialist

2 days ago


Aligarh, Uttar Pradesh, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000

Job Overview

We are seeking a skilled professional to fill the role of Compliance Operations Officer. The ideal candidate will have in-depth knowledge of SEBI, Exchanges, and Depositories compliance regulations.

Main Responsibilities

  • Regulatory Implementation & Monitoring: Ensure timely and effective implementation of circulars, directives, and guidelines issued by SEBI, stock exchanges, and other regulatory bodies.
  • Audit & Inspection Management: Prepare and compile documentation and data for Cyber, Internal, and Regulatory audits.
  • Investor Complaint Management: Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels.
  • Authorised Persons Compliance: Maintain complete records of Authorised Persons including registration, termination, inspections, and periodic reporting in line with exchange regulations.
  • Surveillance & Risk Monitoring: Facilitate timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems.
  • Back-Office & DP Operations Oversight: Oversee day-to-day compliance aspects of Equity, FO, and DP back-office functions.

Requirements

  • NISM-Series-III-A: Securities Intermediaries Compliance certification required.
  • Experience in compliance for stock broking firm.
  • Strong knowledge of SEBI, Exchanges, and Depositories compliance regulations.
  • Hands-on experience in regulatory reporting, audits, and inspections.
  • Exposure to investor grievance handling, arbitration, and AML standards.


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