Assistant Manager/Manager
2 days ago
Role & responsibilities
Key Responsibilities:
Ensure the company complies with all 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, and ensure prompt closure of observations.
Provide compliance training and guidance to employees, dealers, and relationship managers.
Monitor new circulars, regulations, and guidelines issued by SEBI/Exchanges/Depositories and ensure timely implementation.
Investigate and report any breaches or violations of compliance to senior management.
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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