Regulatory Expert

2 days ago

Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 15,42,000
Job Summary

We are seeking a seasoned Compliance and Regulatory Operations professional to join our team. As an Assistant Manager, you will be responsible for ensuring strict adherence to regulatory guidelines, managing inspections, investor complaints, surveillance alerts, and compliance reporting.

The ideal candidate will have a strong knowledge of SEBI, Exchanges, and Depositories compliance regulations, with hands-on experience in regulatory reporting, audits, and inspections.

You will oversee day-to-day compliance aspects of back-office functions, including Equity, FO, and DP operations, ensuring seamless compliance operations. Strong communication skills, integrity, adaptability, and resilience in high-pressure environments are essential for this role.

Key Responsibilities
  • Implement and monitor regulatory requirements, including circulars, directives, and guidelines issued by SEBI, stock exchanges, and other regulatory bodies.
  • Verify system configurations to ensure compliance with internal standards and regulatory requirements.
  • Develop 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.
  • Prepare documentation and data for audits and inspections.
  • Coordinate with internal teams during audits and inspections, ensuring timely submission of data.
  • Analyze audit findings and escalate critical observations to senior management.
  • Implement corrective and preventive measures for identified compliance gaps.
  • Manage investor complaints received via SMART ODR and SEBI SCORES.
  • Analyze complaints and prepare comprehensive reports for review by the Compliance Officer.
  • Ensure timely resolution of grievances in coordination with relevant departments.
  • Maintain records of Authorised Persons, including registration, termination, inspections, and periodic reporting.
  • Facilitate timely and accurate resolution of surveillance alerts issued by exchanges or internal monitoring systems.
  • Coordinate with relevant departments, clients, and regulatory bodies to address alerts effectively.
  • Oversight of day-to-day compliance aspects of back-office functions, including Equity, FO, and DP operations.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  • Liaise with CDSL, Exchanges, Clearing Corporations, and other intermediaries to ensure seamless compliance operations.
Requirements
  • NISM-Series-III-A: Securities Intermediaries Compliance Certification
  • Experience in compliance for a 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
  • Excellent oral and written communication skills with strong negotiation and persuasion abilities
  • High integrity, adaptability, and resilience in high-pressure environments

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