Compliance Professional

1 day ago

Tiruchi, Tamil Nadu, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 18,00,000
Compliance and Regulatory Operations Specialist

The role involves ensuring governance, investor protection, and risk management in accordance with regulatory requirements.

  • Regulatory Implementation & Monitoring
  1. Ensure timely implementation of regulatory guidelines and circulars issued by SEBI, stock exchanges, and other bodies.
  2. Verify system configurations to ensure compliance with regulatory requirements and internal standards.
  3. Develop monitoring mechanisms to detect discrepancies in contract notes, margin statements, client segregation, and holdings.
  4. Maintain the Compliance Calendar and submit all regulatory filings on time.
  5. Apply for, renew, and maintain statutory registrations and approvals required for broking and DP operations.
  • Audit & Inspection Management
  1. Prepare documentation and data for Cyber, Internal, and Regulatory audits.
  2. Coordinate with internal teams during audits and inspections.
  3. Conduct detailed analysis of audit findings and escalate critical observations to senior management/Compliance Officer-in-Charge.
  4. Implement corrective and preventive measures for identified compliance gaps.
  • Investor Complaint Management
  1. Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels.
  2. Conduct in-depth analysis of complaints and prepare comprehensive reports for review by the Compliance Officer.
  3. Ensure timely resolution of grievances in coordination with relevant departments.
  • Authorised Persons Compliance
  1. Maintain complete records of Authorised Persons including registration, termination, inspections, and periodic reporting in line with exchange regulations.
  • Surveillance & Risk Monitoring
  1. Facilitate timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems.
  2. Coordinate with relevant departments, clients, Authorised Persons, and regulatory bodies to address alerts effectively.
  • Back-Office & DP Operations Oversight
  1. Oversee day-to-day compliance aspects of Equity, FO, and DP back-office functions.
  2. Ensure compliance checks in account opening, pay-in/pay-out, pledge creation, and EOD margin/trade file processing.
  3. 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 certification.
  • Experience in compliance for stock broking firms.
  • 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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