Financial Regulatory Specialist

1 week ago

Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 25,00,000

About Compliance Officer Position

The ideal candidate will be responsible for ensuring that our operations adhere strictly to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories, and other governing bodies. This includes monitoring and reporting suspicious transactions under Anti-Money Laundering (AML) guidelines, filing periodic reports with regulatory authorities, and executing and reporting Bulk Deals to NSCCL.

Key Responsibilities:

  • Ensure day-to-day compliance with SEBI regulations, circulars, and exchange/depository guidelines.
  • Monitor and report suspicious transactions under Anti-Money Laundering (AML) guidelines.
  • File periodic reports with regulatory authorities, including margin trading, financial disclosures, and KYC compliance updates.
  • Submit System Audit Reports (SAR) and Annual Returns to respective exchanges in both digital and physical formats.
  • Execute and report Bulk Deals to NSCCL.
  • Manage Pay-In and Pay-Out of funds for CM, F&O, and CDS segments.
  • Oversee Pay-In and Pay-Out of securities for CM segment.
  • Ensure accurate and daily client margin reporting for F&O and Currency segments to NSCCL.
  • Handle day-to-day RMS and surveillance system operations, including file uploads and monitoring.
  • Notify exchanges promptly of any changes in constituent structures.
  • Keep KYC formats and client documentation aligned with regulatory updates; manage exchange registrations and uploads.
  • Perform back-office accounting and DP operations for CM, F&O, CDS, Mutual Funds, and CDSL (currently CM & F&O).
  • Implement changes based on new SEBI circulars and exchange notifications.
  • Ensure accurate reconciliation of daily trades and timely T+1/T+2 settlements.
  • Process client fund and security pay-ins/payouts within prescribed timelines.

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