Senior Regulatory Compliance Specialist

15 hours ago

Aurangabad, Maharashtra, India beBeeCompliance Full time ₹ 14,13,075 - ₹ 16,48,573
Compliance Officer

The Compliance Officer plays a crucial role in ensuring adherence to regulatory guidelines and requirements. This position is responsible for the implementation, monitoring, and maintenance of compliance procedures within the organization.

Key Responsibilities:
  • Implement and monitor regulatory guidelines and directives issued by regulatory bodies such as SEBI and exchanges.
  • Develop and maintain 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.
Responsibilities Continued:
  • Prepare and compile documentation and data for audits, inspections, and investigations.
  • Coordinate with internal teams during audits and inspections, ensuring timely submission of data.
  • Conduct detailed analysis of audit findings and escalate critical observations to senior management.
Additional Responsibilities:
  • Manage investor complaints received via direct channels and external platforms.
  • Conduct in-depth analysis of complaints and prepare comprehensive reports for review by senior management.
Required Skills and Qualifications:
  • NISM-Series-III-A: Securities Intermediaries Compliance certification.
  • Experience in compliance for stock broking firms or related industries.
  • Strong knowledge of SEBI, exchange, and Depositories 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 with strong negotiation and persuasion abilities.
  • High integrity, adaptability, and resilience in high-pressure environments.

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