Key Regulatory Officer

4 days ago

Vijayawada, Andhra Pradesh, India beBeeCompliance Full time ₹ 11,44,000 - ₹ 14,56,000
Senior Compliance Specialist Role

The Senior Compliance Specialist is responsible for ensuring strict adherence to regulatory guidelines, managing inspections, investor complaints, surveillance alerts, and compliance reporting.

Responsibilities:

  • Regulatory Implementation & Monitoring:
    • Ensure timely implementation of circulars, directives, and guidelines issued by regulatory bodies.
    • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
    • 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.
    • Apply for, renew, and maintain statutory registrations and approvals required for broking and DP operations.
  • Audit & Inspection Management:
    • Prepare documentation and data for audits and inspections.
    • Coordinate with internal teams during audits and inspections.
    • Conduct analysis of audit findings and escalate critical observations.
    • Implement corrective and preventive measures for identified compliance gaps.
  • Investor Complaint Management:
    • Manage investor complaints received via ODR and SCORES.
    • Conduct analysis of complaints and prepare comprehensive reports.
    • Ensure timely resolution of grievances in coordination with departments.
  • Authorised Persons Compliance:
    • Maintain records of Authorised Persons including registration, termination, inspections, and periodic reporting.
  • Surveillance & Risk Monitoring:
    • Facilitate timely and accurate resolution of surveillance alerts.
    • Coordinate with departments, clients, and regulatory bodies to address alerts effectively.
  • Back-Office & DP 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.
    • Liaise with intermediaries to ensure seamless compliance operations.

Requirements:

  • Required: NISM-Series-III-A: Securities Intermediaries Compliance certification.
  • Experience in compliance for stock broking firm.
  • 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.

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