Financial Regulatory Compliance Professional

3 days ago

Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 10,08,000 - ₹ 14,40,000
Job Summary:

The Compliance Operations Specialist is accountable for ensuring strict adherence to regulatory guidelines, fostering close collaboration with multiple departments to maintain high standards of governance and risk management.

Key Responsibilities:

  • Regulatory Implementation & Monitoring
    • Ensure timely implementation of circulars, directives, and guidelines issued by SEBI and other regulatory bodies.
    • Verify system configurations to ensure compliance with regulatory requirements and internal standards.
    • Develop and implement monitoring mechanisms to detect 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 required for broking operations.
  • Audit & Inspection Management
    • Prepare documentation and data for audits.
    • Coordinate with internal teams during audits, ensuring timely submission of data.
    • Conduct analysis of audit findings and escalate critical observations to senior management.
    • Implement corrective measures for identified compliance gaps.
  • Investor Complaint Management
    • Manage investor complaints received via direct channels.
    • Conduct in-depth analysis of complaints and prepare reports.
    • Ensure timely resolution of grievances in coordination with relevant departments.
  • Authorised Persons Compliance
    • Maintain records of Authorised Persons, including registration, termination, and periodic reporting.
  • Surveillance & Risk Monitoring
    • Facilitate timely resolution of surveillance alerts issued by exchanges or internal monitoring systems.
    • Coordinate with relevant 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.

Qualifications and Skills:

  • Required: NISM-Series-III-A: Securities Intermediaries Compliance Certification
  • Experience in compliance for a stock broking firm
  • Strong knowledge of SEBI, Exchanges, 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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