Assistant Manager Compliance

2 days ago

Bengaluru, Karnataka, India Alice Blue Full time ₹ 5,00,000 - ₹ 15,00,000 per year

Key Responsibilities

  • Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, and other regulatory guidelines applicable to stock broking activities.
  • Monitor day-to-day compliance of trading, depository, and back-office operations.
  • Prepare, review, and submit periodic reports/returns to SEBI, Exchanges, Depositories, and other regulatory authorities within timelines.
  • Draft and update internal compliance policies, manuals, and procedures in line with regulatory requirements.
  • Conduct regular compliance audits, inspections, and internal checks across branches and departments.
  • Ensure client KYC, PMLA (Prevention of Money Laundering Act), and other statutory compliances are strictly followed.
  • Liaise with regulatory authorities during inspections, audits, and queries, ensuring prompt closure of observations.
  • Provide compliance training and guidance to employees, dealers, and relationship managers.
  • Monitor and implement new circulars, regulations, and guidelines issued by SEBI/Exchanges/Depositories.

Key Skills & Competencies

  • Strong knowledge of SEBI, NSE, BSE, and Depository regulations.
  • Hands-on experience in compliance within stock broking or financial services industry.
  • Good understanding of KYC, AML, and risk management frameworks.
  • Excellent drafting, reporting, and documentation skills.
  • Strong analytical ability and attention to detail.
  • Effective communication and stakeholder management skills.

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