Institutional Equities Regulatory Specialist

23 hours ago

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

Institutional Equities Compliance Manager Job Summary

About the Role

The role of Institutional Equities Compliance Manager is crucial to ensuring that all equity trading activities conducted on behalf of institutional clients comply with relevant regulations, stock exchange requirements, and internal compliance frameworks.

This includes advising front-office personnel, monitoring trading activities, managing regulatory issues, and liaising with regulators and other market infrastructure institutions.

Main Responsibilities

Regulatory Compliance

  • Ensure compliance with relevant regulations, including SEBI Stock Brokers Regulations, Prevention of Money Laundering Act (PMLA), SEBI Insider Trading Regulations, SEBI Listing Obligations and Disclosure Requirements (LODR), and circulars issued by SEBI NSE BSE.
  • Monitor adherence to regulations on algorithmic trading, co-location, client onboarding know your customer anti-money laundering KYC AML, and institutional trade execution.
  • Track regulatory updates and implement necessary internal changes to maintain compliance.

Trade Surveillance & Monitoring

  • Monitor institutional equity trades for potential market abuse insider trading front-running and circular trading using surveillance tools e.g. NSE BSE alerts.
  • Collaborate with surveillance and risk teams to investigate unusual trading patterns and generate Suspicious Transaction Reports STRs if required.

Compliance Monitoring

  • Act as the first point of contact for the institutional equities desk sales trading on regulatory or compliance-related queries.
  • Provide guidance on interpretation and application of regulations e.g. delivery at fusion rules foreign portfolio investor participation limits alternative investment fund restrictions.
  • Conduct sample testing and periodic reviews of equity trades and related processes.
  • Maintain accurate records documentation exception reporting and corrective action logs.

Training Awareness

  • Conduct periodic training sessions for institutional equity desk staff on regulatory requirements and internal code of conduct including regulations on insider trading.

Internal External Coordination

  • Support internal audits regulator inspections and compliance reviews.
  • Work closely with Legal Surveillance KYC Risk teams to manage regulatory expectations and ensure effective governance.
Required Skills and Qualifications

Education

  • Graduate postgraduate in Law Finance Commerce.
  • Additional certifications such as National Institute of Securities Markets NISM Series IIIA Compliance Officer Module or NISM Series VII Securities Operations and Risk Management preferred.

Experience

  • 5–8 years of relevant experience in compliance within Institutional Equities Broking Investment Banking.
  • Experience dealing with regulators knowledge of institutional investor categories FPI Mutual Funds AIF PMS.

Skills Competencies

  • Strong understanding of regulations equity market structure and institutional trading norms.
  • High integrity attention to detail strong analytical ability.
  • Excellent communication skills ability to interact effectively with trading desks senior management regulators.
  • Proficiency in MS Excel Word exposure to trading surveillance systems.

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