Regulatory Compliance Specialist

5 hours ago

Vadodara, Gujarat, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 15,00,000

Job Summary

This role is responsible for ensuring regulatory compliance within the organization by disseminating relevant circulars and notifications to respective departments, tracking actionable items, and maintaining accurate records.

 

Main Responsibilities
  • Disseminate daily circulars and notifications issued by regulators to respective departments, track implementation and adherence of said circulars, and maintain MIS records.
  • Process client balances (fund/securities) with a basic understanding of financial concepts.
  • Prepare documentation for AP registration/cancellation and maintain associated compliances.
  • Perform NEAT/CTCL terminal maintenance and update MIS records.
  • Submit regular regulatory returns to exchanges and handle day-to-day compliance tasks.
  • Collaborate with exchanges, clients, and departments for compliance-related issues.
  • Maintain accurate client transaction recording data.
  • Prepare various applications/documentation according to exchange rules and regulations.
  • Update and maintain MIS records.
Requirements
  • Minimum 1.5 years of experience in broking or a related field.
About the Role

This Compliance Executive position requires a high level of attention to detail, strong organizational skills, and excellent communication abilities.

The ideal candidate will be able to work effectively in a team environment, prioritize tasks, and meet deadlines.

If you have a strong passion for compliance and regulatory affairs, we encourage you to apply for this exciting opportunity.

  • Regulatory Compliance Specialist

    1 week ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 10,00,000 - ₹ 15,00,000

    Regulatory Compliance SpecialistWe are seeking a skilled Regulatory Compliance Specialist to join our team.Bureau of Indian Standards certification (Scheme-I ISI mark, Scheme-II CRS registration- Compulsory Registration Scheme)BEE ratingsWPC/ETA approvalsEPR approvalsFSSAIiCATARAIAs a Regulatory Compliance Specialist, you will play a key role in ensuring our...

  • Lead Regulatory Compliance Specialist

    1 week ago

    Vadodara, Gujarat, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,20,00,000

    We are seeking a highly skilled and experienced Compliance Officer to join our team. The successful candidate will be responsible for ensuring that our company's activities are in compliance with all relevant laws, regulations, and industry standards.Job Description:The Compliance Officer will be responsible for the following key tasks:Managing regulatory...

  • Regulatory Compliance Specialist

    2 weeks ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 90,00,000 - ₹ 1,20,00,000

    Regulatory Affairs ProfessionalWe are seeking a detail-oriented Regulatory Affairs professional to support end-to-end submissions for global markets. The ideal candidate will have experience with Lifecycle Management (LCM), Veeva Vault RIM, and complex Initial and Variation submissions.Key Responsibilities:Prepare Variation documents and/or evaluate...

  • Regulatory Compliance Expert

    2 days ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 36,00,000 - ₹ 40,00,000

    Job Title: Regulatory Compliance ExpertThe successful candidate will be responsible for handling regulatory filings, tariff determination, petitions, and compliance with regulatory frameworks in the power sector.Key Responsibilities:Handling regulatory filings and tariff determinationProviding end-to-end support in regulatory submissionsCollaborating with...

  • Regulatory Compliance Professional

    1 day ago

    Vadodara, Gujarat, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000

    Job OverviewWe are seeking a seasoned Compliance Manager to oversee our organization's regulatory compliance. The ideal candidate will have experience in managing compliance functions in allied industries and a strong understanding of SEBI AIF & PMS Regulations.The successful applicant will be responsible for monitoring ongoing compliance, preparing and...

  • Regulatory Affairs Specialist

    1 week ago

    Vadodara, Gujarat, India beBeeRegulatoryAffairs Full time US$ 90,000 - US$ 1,20,000

    Regulatory Affairs SpecialistWe are seeking a skilled Regulatory Affairs Specialist to join our team.About the Role:Develop and implement regulatory strategies to ensure compliance with laws and regulations.Collaborate with cross-functional teams to drive business growth and improve operational efficiency.Analyze complex data and information to inform...

  • Global Regulatory Compliance Specialist

    2 days ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 10,00,000 - ₹ 15,00,000

    Regulatory Affairs AssociateWe are seeking a diligent and experienced Regulatory Affairs professional to support end-to-end submissions for global markets.Key Responsibilities:Prepare variation documents, evaluate post-approval CMC changes, and maintain compliance with global regulatory requirements.Contribute to lifecycle management activities by compiling...

  • A Leader in Regulatory Compliance

    1 day ago

    Vadodara, Gujarat, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 15,00,000

    Job Title: Compliance ExecutiveWe are seeking a diligent and detail-oriented Compliance Executive to join our team.Responsibilities:Disseminate relevant regulatory circulars and notifications to respective departments, tracking actionable items and maintaining MIS records.Settle client balances and maintain knowledge of related procedures.Prepare...

  • Regulatory Operations Specialist

    1 week ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 12,00,000 - ₹ 15,00,000

    Regulatory Operations SpecialistWe are seeking a skilled Regulatory Operations Specialist to manage the activities related to dossier submission for various markets. The ideal candidate will have experience in compilation, review, and lifecycle management of regulatory documents.Compilation of dossier for US, EU, AU, Canada, IL market for solid oral and...

  • DM Regulatory Compliance Specialist

    4 days ago

    Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,20,00,000

    Job Title:Enforcement (CISA Certification)Job DescriptionWe are seeking a highly motivated and detail-oriented professional to join our team as an Enforcement Officer. The ideal candidate will possess strong analytical skills, excellent communication abilities, and a proven track record of ensuring compliance with regulatory requirements.Key...