Strategic Compliance Leader

6 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 55 - ₹ 75

Job Title: Senior Manager

Role Overview

The Senior Manager is responsible for overseeing and managing the end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements. This role requires a high level of expertise in compliance management and regulatory affairs.

Duties and Responsibilities
  • Manage compliance activities associated with equity research function, including regulatory filings and internal control mechanisms.
  • Develop, implement, and monitor comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
  • Draft, review, and negotiate legal and regulatory documents, agreements, and internal policies.
  • Deal with internal auditors, system auditors, stock exchange inspection officials, and SEBI officials.
  • Prepare and submit periodic reports to regulatory bodies, stock exchanges, and internal stakeholders while maintaining effective communication and correspondence.
  • Engage and liaise with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters.
  • Review and update compliance processes and ensure effective implementation across relevant business units.
  • Coordinate with internal auditors, cybersecurity/system auditors, SEBI officials, and stock exchange inspection teams during audits and inspections.
  • Manage the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions.
Requirements and Qualifications
  • 6-9 years of experience in a related field.
Benefits and Opportunities

This role offers a challenging and rewarding career path with opportunities for professional growth and development. The successful candidate will be part of a dynamic team working in a fast-paced environment.

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