Regulatory Compliance Manager

1 day ago

Navi Mumbai, Maharashtra, India ICICIDirect Full time

Job Role and Responsibilities

  • Handle onsite and offsite inspections conducted by SEBI and Stock Exchanges, including preparation, coordination, and closure of observations.
  • Manage compliance and regulatory audits for broking and non broking entities and ensure timely resolution of audit findings.
  • Conduct periodic compliance audits to ensure adherence to applicable laws, regulations, circulars, and internal policies.
  • Identify, assess, and evaluate potential compliance risks and recommend appropriate mitigation strategies.
  • Review, update, and implement compliance policies, procedures, and manuals in line with regulatory changes and best practices.
  • Maintain comprehensive documentation and records related to compliance activities, audit findings, investigations, and corrective actions.
  • Develop and deliver compliance training programs to employees to enhance regulatory awareness and adherence.
  • Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management.
  • Conduct investigations into potential compliance breaches, assess violations, and recommend corrective and preventive actions.
  • Collaborate closely with internal stakeholders across departments to support compliance initiatives and ensure organizational alignment.
  • Support regulatory reporting requirements and respond to regulatory queries in a timely and accurate manner.

Qualification

  • CA / CS / CA Inter / Master's degree or equivalent professional qualification.
  • Certifications in Capital Markets or prior experience in regulatory inspections and audits will be an added advantage

Experience and Skills

  • 2 – 8 years of relevant experience in stock broking compliance or regulatory compliance roles.
  • In depth understanding of SEBI regulations, Stock Exchange guidelines, and capital market compliance frameworks.
  • Strong analytical skills with the ability to interpret regulatory changes and assess their impact on business processes.
  • Excellent written and verbal communication skills with the ability to interact with regulators and senior stakeholders.
  • High attention to detail and accuracy in reviewing documentation and assessing compliance.
  • Demonstrated integrity, discretion, and ability to handle sensitive and confidential information.
  • Strong decision making and problem solving capabilities with the ability to guide internal teams.

Proficiency in compliance management tools and MS Office applications, especially Excel and reporting dashboard

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