Financial Regulations Manager
1 week ago
About Zuari Management Services Limited: As a leader in the financial services sector, we strive to provide exceptional service to our customers while maintaining the highest standards of compliance and regulatory affairs.
Job Summary: We are seeking a seasoned Senior Compliance Specialist who will be responsible for ensuring compliance with regulatory requirements and guidelines related to RTA & broking activities. The ideal candidate will possess a deep understanding of SEBI regulations, guidelines, and best practices.
Key Responsibilities:
- Regulatory Affairs: Manage all regulatory affairs related to RTA & broking operations, including monitoring and responding to regulatory notices and circulars.
- Compliance Training: Develop and conduct training programs for employees on compliance and regulatory requirements.
- Risk Assessment: Conduct regular risk assessments to identify potential compliance risks associated with RTA & broking activities.
- Audit and Inspection: Coordinate and manage all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.
Requirements: To be successful in this role, you will need at least 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution. You should have deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking. Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants and Experts is also required. A full-Time Bachelor's degree is a must & MBA degree is preferred.
Estimated Salary: ₹50 Lakhs - ₹70 Lakhs per annum depending on your experience and qualifications.
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