Chief Regulatory Specialist

2 days ago

Nagpur, Maharashtra, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 15,00,000
Compliance and Regulatory Officer Role

The Compliance and Regulatory Operations Officer plays a pivotal role in ensuring strict adherence to regulatory guidelines, managing inspections, investor complaints, surveillance alerts, and compliance reporting. This position requires close coordination with multiple departments to maintain high standards of governance, investor protection, and risk management.

Key ResponsibilitiesRegulatory Implementation and Monitoring
  • Ensure timely and effective implementation of circulars, directives, and guidelines issued by regulatory bodies.
  • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
  • Develop and implement monitoring mechanisms to detect and resolve discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain the Compliance Calendar and ensure timely submission of all regulatory filings.
  • Apply for, renew, and maintain statutory registrations and approvals required for operations.
Audit and Inspection Management
  • Prepare and compile documentation and data for audits.
  • Coordinate with internal teams during audits and inspections, ensuring timely submission of data.
  • Conduct detailed analysis of audit findings and escalate critical observations to senior management.
  • Implement corrective and preventive measures for identified compliance gaps.
Investor Complaint Management
  • Manage investor complaints received via direct channels.
  • Conduct in-depth analysis of complaints and prepare comprehensive reports for review.
  • Ensure timely resolution of grievances in coordination with relevant departments.
Authorised Persons Compliance
  • Maintain complete records of Authorised Persons including registration, termination, inspections, and periodic reporting.
Surveillance and Risk Monitoring
  • Facilitate timely and accurate resolution of surveillance alerts.
  • Coordinate with relevant departments, clients, and regulatory bodies to address alerts effectively.
Back-Office Operations Oversight
  • Oversee day-to-day compliance aspects of back-office functions.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
Required Skills and Qualifications
  • Strong knowledge of regulatory compliance regulations.
  • Hands-on experience in regulatory reporting, audits, and inspections.
  • Exposure to investor grievance handling, arbitration, and AML standards.
  • Excellent oral and written communication skills with strong negotiation and persuasion abilities.

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