Assistant Vice President/Vice President – Compliance Mangalam Placements

The Corporate Institute; Mumbai; On-site; INR 2,000,000 - 4,000,000; Full time

Job summary

The Corporate Institute in Mumbai is seeking an experienced compliance professional to coordinate with regulators and auditors, prepare and submit periodic reports to SEBI, stock exchanges, and internal stakeholders, and maintain robust compliance processes across business units.

The role requires 7–10 years of experience, strong communication, and the ability to liaise with regulatory authorities to address compliance matters and ensure global regulatory alignment.

Qualifications

• Experience 7–10 years in compliance roles.
• Knowledge of SEBI/Stock Exchange regulations.
• Experience ensuring regulatory governance across subsidiaries.

Responsibilities

• Managing end-to-end compliances related to merchant banking, broking and other businesses, ensuring adherence to all applicable regulatory requirements.
• Managing compliance activities associated with SEBI Prohibition of Insider Trading Regulations, including regulatory filings and internal control mechanisms.
• Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
• Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.
• Dealing with internal auditors, system auditors, SEBI officials and other regulatory/governmental authorities.

Skills

Analytical abilities

Regulatory knowledge

Interpersonal skills

Communication

Regulatory governance

Licensing/registrations

Education

Mid level

Job description

Job Description

Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials/inspection teams during audits and inspections. Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence. Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters. Continuously reviewing and updating compliance processes and ensuring effective implementation across relevant business units.

7 – 10 yrs experience.

Educational Qualifications: Mid level.

Total number of employees supervised: 2.

RESPONSIBILITIES & TASKS

• Managing end-to-end compliances related to merchant banking, broking and other businesses, ensuring adherence to all applicable regulatory requirements.
• Managing compliance activities associated with SEBI Prohibition of Insider Trading Regulations, including regulatory filings and internal control mechanisms.
• Developing, implementing, and monitoring comprehensive compliance policies, procedures, and frameworks aligned with industry best practices and regulatory expectations.
• Drafting, reviewing, and negotiating a wide range of legal and regulatory documents, agreements, and internal policies.
• Dealing with internal auditors, system auditors, SEBI officials and other regulatory/governmental authorities.

CORE SKILLS & EXPERIENCE REQUIREMENTS

• Good Analytical abilities.
• Knowledge of SEBI/Stock Exchanges regulations.
• Inter personal skills, good & clear communication.
• Logical & well defined thought process.
• Managing the application process for obtaining licenses and registrations from regulators for new business initiatives or expansions.
• Addressing compliance obligations pertaining to the Firm’s foreign subsidiaries, ensuring global regulatory alignment and governance.