Compliance Risk Manager
3 weeks ago
About Zuari Management Services Limited: We are a wholly owned subsidiary of a listed organization offering a wide range of products and services to meet our customer's financial requirements and establishing a strong presence in the financial services sector.
Job Summary: The Compliance Officer will be responsible for overseeing and managing all Compliance and Regulatory matters related to RTA & broking activities. This role requires a deep understanding of SEBI regulations, guidelines, and best practices.
Key Responsibilities:
- Monitoring and ensuring compliance of circulars issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE, MCX; and regulations issued by NSDL/CDSL related to RTA & broking operations.
- Developing standard operating procedures (SOP) and ensuring its strict adherence.
- Ensuring timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges, and Depository for filling of all returns, disclosures declarations form etc.
- Coordinating and managing all regulatory inspections and audits both internal, external and of all exchanges on regular/periodic basis.
- Sending new circulars issued by SEBI / Exchanges, information and important communication to all internal and external stakeholders.
Requirements:
- Minimum 15 years of experience in a Compliance role within the Financial Services industry with a focus on SEBI registered financial services institution.
- Deep knowledge of SEBI regulations and guidelines pertaining to RTA and Stock broking.
- Experience in managing SEBI, Statutory/Compliance Authorities, Stock exchanges, Depositories, SEBI, Auditors, Consultants and Experts.
- Full-Time Bachelor's degree is a must & MBA degree is preferred.
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