Operations Compliance Specialist

21 hours ago

Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Compliance Officer Job Description

The Compliance and Regulatory Operations Officer plays a pivotal role in ensuring the company adheres to all regulatory guidelines and standards.

Key Responsibilities:
  • Evaluate and implement circulars, directives, and guidelines issued by regulatory bodies in a timely and effective manner.
  • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
  • Develop monitoring mechanisms to detect discrepancies in contract notes, margin statements, client segregation, and holdings.
  • Maintain the Compliance Calendar and ensure timely submission of regulatory filings.
  • Pursue statutory registrations and approvals required for operations.

Audit & Inspection Management:

  • Compile documentation and data for audits, including Cyber, Internal, and Regulatory audits.
  • Coordinate with teams during audits, ensuring timely data submission.
  • Analyze audit findings and escalate critical observations to senior management or the Compliance Officer.
  • Implement corrective measures for identified compliance gaps.

Investor Complaint Management:

  • Manage investor complaints via complaint channels.
  • Conduct in-depth complaint analysis and prepare comprehensive reports.
  • Ensure timely grievance resolution with relevant departments.

Authorised Persons Compliance:

  • Maintain records of Authorised Persons, including registration, termination, inspections, and periodic reporting.

Surveillance & Risk Monitoring:

  • Facilitate timely alert resolution from exchanges and internal systems.
  • Address alerts effectively with relevant departments, clients, and regulatory bodies.

Back-Office & DP Operations Oversight:

  • Oversight of day-to-day compliance aspects of Equity, FO, and DP 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:

  • NISM-Series-III-A: Securities Intermediaries Compliance certification
  • Experience in compliance for stock broking firms
  • Strong knowledge of regulatory bodies compliance regulations
  • Hands-on experience in regulatory reporting, audits, and inspections
  • Exposure to investor grievance handling, arbitration, and AML standards
  • Excellent communication skills with negotiation and persuasion abilities
  • High integrity, adaptability, and resilience in high-pressure environments

About the Role:

This is a crucial position that requires a skilled professional to manage the compliance function of the organization. The successful candidate will have a strong understanding of regulatory requirements and be able to develop and implement effective compliance strategies.

The ideal candidate will have a background in compliance, excellent communication skills, and be able to work effectively in a team environment.

  • Compliance Specialist

    6 days ago

    Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 5,00,000 - ₹ 10,00,000

    Job Title: Compliance SpecialistWe are seeking a detail-oriented and knowledgeable compliance specialist to manage end-to-end operations related to Employee Provident Fund (EPF) for multiple clients.The ideal candidate will have a strong understanding of the EPF Act and related statutory compliance, with experience in handling large employee bases and client...

  • Financial Operations Specialist

    3 days ago

    Rajahmundry, Andhra Pradesh, India beBeeAccounting Full time ₹ 15,00,000 - ₹ 25,00,000

    Job Title: Financial Operations SpecialistWe are seeking a dynamic and experienced finance professional to join our organization as a Financial Operations Specialist. The ideal candidate will have a solid background in financial accounting, comprehensive knowledge of various compliance areas, and strong analytical skills.Key Responsibilities:

  • Marine Operations Specialist

    21 hours ago

    Rajahmundry, Andhra Pradesh, India beBeeMarineOperations Full time ₹ 1,20,00,000 - ₹ 1,50,00,000

    The role of Marine Operations Specialist involves supporting the Technical department in managing day-to-day technical operations of assigned vessels. This includes monitoring vessel performance, contributing to planned maintenance, and ensuring compliance with maritime regulations.This position serves as a learning and support function, preparing the...

  • Financial Operations Specialist

    4 days ago

    Rajahmundry, Andhra Pradesh, India beBeeAccountant Full time ₹ 60,00,000 - ₹ 1,20,00,000

    Financial Operations SpecialistThe role of Financial Operations Specialist is crucial for ensuring the accuracy and integrity of our financial operations.This position requires a skilled and experienced professional to oversee the timely and accurate recording of all financial transactions, preparation of monthly, quarterly, and annual financial statements,...

  • Tax Compliance Specialist

    3 days ago

    Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 1,92,00,000

    Job DescriptionWe are seeking a detail-oriented Tax Compliance Specialist to join our team. The role involves working closely with global tax, finance, and legal teams on various compliance and reporting projects.ResponsibilitiesManage full-cycle US tax compliance for assigned funds and legal entities.Review federal and state tax returns, investor reporting,...

  • Senior Corporate Regulatory Compliance Specialist

    6 days ago

    Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time US$ 90,000 - US$ 1,15,000

    Business Compliance Specialist RoleJob Description:The role of a Business Compliance Specialist is pivotal in ensuring that companies adhere to all necessary regulations and laws. This entails managing federal business registrations, obtaining Employer Identification Numbers (EIN), IRS filings, and compliance with state-specific requirements.

  • Senior Compliance Manager

    1 week ago

    Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 18,75,000 - ₹ 24,25,000

    Job DescriptionThe Lead Regional Compliance Specialist oversees a geographically distributed team of Regional Compliance Specialists who support physical security compliance across multiple data center locations. This role involves ensuring all sites meet internal standards and external regulatory requirements such as ISO 27001, PCI, FISMA, and others.This...

  • Financial Operations Specialist

    7 days ago

    Rajahmundry, Andhra Pradesh, India beBeeAccountsReceivable Full time ₹ 8,00,000 - ₹ 12,00,000

    Financial Operations SpecialistWe are seeking a detail-oriented Financial Operations Specialist to manage our accounts receivable.Key Responsibilities:Invoice Processing: Process and send invoices to customers in accordance with U.S. GAAP standards, ensuring timely and accurate processing.Account Monitoring and Reconciliation: Monitor accounts to ensure...

  • Compliance Manager Specialist

    4 hours ago

    Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 1,80,00,000 - ₹ 2,50,00,000

    Job Title:Compliance Manager SpecialistKey Responsibilities:Ensure Regulatory Compliance: We are seeking a seasoned Compliance Manager to oversee our regulatory compliance efforts, ensuring adherence to relevant laws and regulations.Maintain Records and Registers: The successful candidate will be responsible for maintaining accurate and up-to-date...

  • Financial Operations Specialist

    3 days ago

    Rajahmundry, Andhra Pradesh, India beBeeFinancial Full time ₹ 80,00,000 - ₹ 1,20,00,000

    Job Title: Financial Operations SpecialistAre you a seasoned accountant looking for a challenging role that combines tax compliance, accounting, and process improvement?We are seeking an experienced financial operations specialist to join our team. As a key member of our finance department, you will be responsible for managing multi-location accounts,...