Senior Compliance Manager

7 days ago

Mumbai, Maharashtra, India YES SECURITIES Full time ₹ 15,00,000 - ₹ 20,00,000 per year

About YES Securities (India) Limited

YES Securities (India) Limited is a forward-looking financial services provider, grounded in customer-centricity, technological innovation, and regulatory excellence. We provide secure, compliant trading and investment solutions for a diverse client base.

Position Summary

The Compliance Manager will be responsible for overseeing all regulatory compliance functions, ensuring alignment with SEBI, the stock exchange, and depository requirements. Reporting to senior management, this role demands regular collaboration with regulators, auditors, and internal teams.

Primary Responsibilities

·       Regulatory Oversight: Ensure strict adherence to SEBI, stock exchange, depository, and statutory guidelines.

·       Policy & Training: Formulate, update, and communicate compliance policies; conduct staff training to drive compliance awareness.

·       Risk Management: Proactively identify, assess, and address regulatory risks; implement corrective measures as necessary.

·       Monitoring & Reporting: Supervise daily compliance operations, surveillance, and timely regulatory reporting.

·       Audit Coordination: Liaise with internal and external auditors and regulators; ensure prompt resolution of audit issues.

·       Due Diligence: Implement robust KYC, AML, and insider trading prevention protocols.

·       Incident Handling: Investigate compliance breaches and regulatory queries, ensuring transparent, timely resolution.

·       Stakeholder Engagement: Act as the primary compliance contact for SEBI, exchanges, depositories, and regulatory bodies.

·       Market Surveillance: Monitor trading activity for potential abuse or prohibited practices.

·       Regulatory Updates: Track and disseminate regulatory changes and circulars across the organization.

·       Documentation: Maintain comprehensive compliance documentation as per regulatory requirements.

Qualifications & Experience

·       Bachelor's degree in Law, Commerce, Finance, or related field; Master's degree/professional certifications (NISM, ICAI, CS) preferred.

·       Minimum 5 years' experience in compliance, risk management, or regulatory affairs within SEBI-registered financial services.

·       In-depth knowledge of SEBI regulations, exchange byelaws, depository operations, KYC/AML, and surveillance systems.

·       Strong analytical, communication, and leadership skills.

·       High standards of integrity, professionalism, and attention to detail.

·       Proficiency in compliance software and digital documentation tools.

Why YES Securities?

·       Impact: Directly contribute to regulatory integrity and client trust.

·       Growth: Be part of a dynamic, expanding organization with clear career progression.

·       Culture: Experience a collaborative, inclusive workplace.

·       Development: Access to ongoing training and industry learning.

·       Rewards: Competitive compensation, performance incentives, and comprehensive benefits.

Contact

If you have any questions, please contact our HR team at [] or via LinkedIn.

Join us to champion regulatory compliance and advance your career with YES Securities.

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