
Manager-Regulatory compliance- Money
7 days ago
Key Responsibilities:
Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons /
Affiliates/ Referral Partners including meeting them physically if required.
Conduct regular compliance audits and assessments to identify potential risks and areas for
improvement for Authorised Persons/Affiliates/ Referral Partners.
Prepare and submit regulatory filings, reports, and documentation as required by SEBI.
Responsible for conducting regular training to the Business development team and Authorised
Persons on compliance-related matters and promoting a culture of compliance within the
organization.
Collaborate with internal teams to gather necessary information for compliance reviews and
audits.
Maintain accurate records of compliance activities and findings.
Support the senior compliance team in conducting investigations into compliance breaches and
implementing corrective actions.
Occasional traveling might be required.
Qualifications:
Bachelors degree in Finance, Business Administration, Law, or a related field with minimum 5-7
years of experience
Familiarity with SEBI regulations and compliance requirements.
Strong analytical skills and attention to detail.
Excellent written and verbal communication skills.
Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
Preferred Skills:
Previous experience in compliance, risk management, or a related field is a plus.
Knowledge of financial markets and investment products.
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