Operational Compliance Specialist

1 day ago

Mumbai, Maharashtra, India beBeeRegulatory Full time ₹ 16,20,000 - ₹ 20,25,000

The Compliance & Regulatory Operations Officer plays a crucial role in ensuring strict adherence to SEBI, exchange, and regulatory guidelines. This position is responsible for managing inspections, investor complaints, surveillance alerts, and compliance reporting. To achieve high standards of governance, investor protection, and risk management, close coordination with multiple departments is required.

Responsibilities

  • Ensure timely and effective implementation of circulars, directives, and guidelines issued by SEBI, stock exchanges, and other regulatory bodies.
  • Verify IBT, CTCL, and other system configurations to ensure compliance with regulatory requirements and internal standards.
  • Develop and implement 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 all statutory registrations and approvals required for broking and DP operations.

Audit & Inspection Management

  • Prepare and compile documentation and data for Cyber, Internal, and Regulatory audits.
  • 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/Compliance Officer-in-Charge.
  • Implement corrective and preventive measures for identified compliance gaps.

Investor Complaint Management

  • Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels.
  • Conduct in-depth analysis of complaints and prepare comprehensive reports for review by the Compliance Officer.
  • Ensure timely resolution of grievances in coordination with relevant departments.

Authorised Persons Compliance

  • Maintain complete records of Authorised Persons including registration, termination, inspections, and periodic reporting in line with exchange regulations.

Surveillance & Risk Monitoring

  • Facilitate timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems.
  • Coordinate with relevant departments, clients, Authorised Persons, and regulatory bodies to address alerts effectively.

Back-Office & DP Operations Oversight

  • Oversee day-to-day compliance aspects of Equity, FO, and DP back-office functions.
  • Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  • Liaise with CDSL, Exchanges, Clearing Corporations, and other intermediaries to ensure seamless compliance operations.

Required Skills and Qualifications:

  • NISM-Series-III-A: Securities Intermediaries Compliance.
  • Experience in compliance for 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.

  • Specialist Compliances and Operations

    2 days ago

    Mumbai, Maharashtra, India beBeeFinancial Full time ₹ 45,00,000 - ₹ 85,00,000

    Compliances and Operations SpecialistThe ideal candidate will be responsible for handling banking and treasury management for Indian entities, with the support of external vendors. Previous experience in transfer pricing and portfolio operations and execution management (POEM) is a significant advantage.This role could be at either senior or mid-level,...

  • PMS Fund Operations and Compliance Specialist

    2 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,50,00,000

    PMS Fund Operations & Compliance SpecialistWe are seeking a highly skilled professional to lead our PMS fund operations and compliance team. The ideal candidate will have a strong background in risk management, regulatory affairs, and investment operations with experience working with registered financial institutions.Key ResponsibilitiesLead the development...

  • Compliance Specialist

    2 weeks ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000

    Compliance SpecialistTo undertake compliance testing for new circulars and existing regulations to ensure adherence with respect to regulatory requirements issued by various authorities.We require a Compliance Specialist to liaise with regulators for seeking clarifications and guidance on specific matters.The role involves disseminating regulatory guidelines...

  • Compliance Specialist

    2 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000

    Job Title: Compliance SpecialistWe are seeking a detail-oriented and organized Compliance Specialist to join our team.About the Role:The Compliance Specialist will play a critical role in ensuring that our organization adheres to all relevant laws, regulations, and industry standards. The ideal candidate will have a strong understanding of regulatory...

  • Compliance Specialist

    2 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,80,00,000 - ₹ 2,16,00,000

    Job Title: Compliance SpecialistElevate Your Career Through Expertise and LearningWe are seeking an experienced compliance professional to support our growing team.Key Responsibilities:Manage and oversee regulatory filings, including 13F, 13H, and Form PFEnsure compliance with EU regulations and reporting obligationsReview and negotiate contracts and liaise...

  • Regulatory Compliance Specialist

    1 week ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000

    Job Title: Regulatory Compliance SpecialistAs a Regulatory Compliance Specialist, you will play a crucial role in ensuring that our organization adheres to all relevant regulatory requirements.The ideal candidate will have a deep understanding of compliance regulations and be able to develop and implement effective policies and procedures to mitigate...

  • Trade Compliance Specialist

    4 days ago

    Mumbai, Maharashtra, India beBeeTradeCompliance Full time ₹ 12,00,000 - ₹ 24,00,000

    Job Title: Trade Compliance SpecialistOverview:As a Trade Compliance Specialist, you will be responsible for managing imports and exports, as well as shipping operations. This role requires excellent communication and organizational skills to coordinate shipments with external parties, including factories, customers, forwarders, carriers, and CHA's.Key...

  • Clearing Operations Compliance Lead

    1 week ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

    Compliance SpecialistNuvama Group is seeking a skilled compliance professional to oversee regulatory compliance in Professional Clearing Member operations. This role requires a deep understanding of SEBI regulations, exchange requirements, and clearing processes.Ensure compliance with SEBI, NSE, BSE, NCDEX, and MCX regulations applicable to Professional...

  • Tax Compliance Specialist

    2 weeks ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000

    Job Title: Direct Tax Operations SpecialistWe are seeking a highly skilled professional to join our team in the role of Direct Tax Operations Specialist. In this position, you will be responsible for managing and executing direct tax operations, ensuring compliance with statutory timelines.Key Responsibilities:Compute monthly withholding tax liabilities on...

  • Compliance Governance Specialist

    2 weeks ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 36,00,000

    Job Title: Compliance Governance SpecialistA challenging role for a highly skilled professional to manage compliance activities and ensure alignment with regulatory requirements.Oversee Trustee operations and ensure adherence to SEBI, RBI, and other regulatory guidelines.Monitor regulatory changes and assess their impact on business operations.Draft, review,...