Senior Regulatory Specialist

1 week ago


Solapur, Maharashtra, India beBeeCompliance Full time ₹ 6,00,000 - ₹ 12,00,000
Compliance Expert Job Opportunity

The role of a Compliance Expert involves ensuring adherence to regulatory requirements and maintaining the integrity of business operations.

  • Key Responsibilities:
    • Disseminate relevant circulars & notifications issued by regulators on a daily basis, tracking actionable items and monitoring implementation/adherence.
    • Settle client balances (Fund/Securities) with a basic understanding of settlement procedures.
    • Prepare documentation for AP registration/cancellation and maintain knowledge of AP-related compliances.
    • Manage NEAT/CTCL terminals and maintain related MIS data.
    • Submit regulatory returns to exchanges as required and handle day-to-day compliance tasks.
    • Collaborate with exchanges, clients, and departments on compliance matters.
    • Record client transaction data.
    • Prepare various applications/documentation in accordance with exchange rules and regulations.
  • Preferred Qualifications:
    • Minimum 1.5 years of experience in broking, preferably with knowledge of regulatory frameworks and compliance procedures.

This is an exciting opportunity for a Compliance Expert to join our organization and contribute to the success of our team.



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