Risk Manager

3 days ago

Ranchi, Jharkhand, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

We are looking for a highly skilled and detail-oriented professional to fill the role of Compliance Officer.

Key Responsibilities:
  • To ensure adherence to regulatory requirements, we require someone who can monitor and manage all legal and compliance matters within our organization.
  • The ideal candidate will draft, review, and implement internal policies and procedures that align with regulatory updates and best practices.
  • A key aspect of this role is identifying potential regulatory risks and ensuring timely reporting and documentation.
  • The successful applicant will also be responsible for conducting regular audits, inspections, and reviews of operational activities to guarantee compliance.

This position requires strong analytical and problem-solving skills, as well as excellent communication abilities. The Compliance Officer will report directly to senior management and work closely with teams across the organization to ensure seamless compliance.

Key Skills:
Regulatory & Statutory Compliance, Attention to Detail, Risk Management & Internal Control, Reporting & Documentation, Stakeholder Coordination, Ethics & Integrity

Qualifications & Requirements:
  • Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).
  • Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.
  • Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.
  • Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.

Responsibilities include:

  • Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.
  • Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.
  • Monitor day-to-day operational activities to identify potential regulatory risks.
  • File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.
  • Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.
  • Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.
  • Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.
  • Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.
  • Maintain and update compliance manuals and records in accordance with statutory requirements.
  • Report compliance breaches or potential risks to senior management and recommend corrective measures.

Benefits include:

  • Opportunity to work in a dynamic environment with a dedicated team.
  • Professional growth and development through ongoing training and education.
  • Collaborative work environment with open communication channels.

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