Regulatory Compliance Manager

1 week ago

Udhana Surat Gujarat, India NJ AMC Full time ₹ 72,00,000 - ₹ 96,00,000 per year

Key Responsibilities:

Audit & Regulatory Liaison:

  • Act as the primary point of contact for internal auditors, NSE, BSE, and other regulatory bodies.
  • Coordinate and support all exchange and internal audits, including pre-audit preparation and post-audit follow-ups.
  • Provide data and documentation to auditors and regulators in a timely and accurate manner.

Compliance & Reporting:

  • Ensure timely and error-free submission of all compliance and operational reports to NSE/BSE and SEBI.
  • Maintain up-to-date knowledge of relevant circulars, notifications, and compliance requirements.
  • Monitor daily regulatory filings, risk-based supervision (RBS) reporting, and other compliance tasks.
  • Retrieve and prepare data reports as required by auditors or regulatory authorities.

Operations Management:

  • Coordinate with back-office and front-office software providers for system requirements, updates, and issue resolutions.
  • Monitor and manage operational aspects of Capital Market, IPO, and OBPP segments.
  • Handle related documentation and compliance procedures

Key Skills & Competencies:

  • In-depth knowledge of stock exchange operations and compliance.
  • Familiarity with SEBI and stock exchange regulations.
  • Strong coordination and communication skills to deal with auditors, regulators, and IT vendors.
  • Excellent MS Excel and report generation skills.
  • Attention to detail and a proactive compliance mindset.

Job Types: Full-time, Permanent

Pay: ₹60, ₹80,000.00 per month

Benefits:

  • Flexible schedule
  • Health insurance
  • Leave encashment
  • Life insurance
  • Provident Fund

Work Location: In person

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