Experience
2 - 3 yrs
Job Location
Mumbai, India
Vacancy
1
Designation
Manager Compliance and Regulatory Affairs
Job Type
ONSITE
Job Description
- Ensure adherence to SEBI, NSE, BSE, NSDL, CDSL, and other applicable regulatory guidelines.
- Prepare and submit regulatory reports, returns, and disclosures within prescribed timelines.
- Monitor compliance with circulars, notifications, and regulatory updates issued by exchanges and regulators.
- Coordinate and support internal, statutory, exchange, and regulatory audits.
- Maintain statutory registers, compliance records, and documentation.
- Track regulatory changes and assist in implementing new compliance requirements across the organization.
- Assist in responding to queries, inspections, and notices from regulatory authorities.
- Review client onboarding and KYC processes to ensure regulatory compliance.
- Support the Compliance Officer in daily compliance activities and regulatory projects.
- Prepare MIS reports and compliance dashboards for management.
- Coordinate with internal departments to ensure timely closure of compliance observations.
- Prepare and review trading circulars.
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