Compliance Lead

Shriram Financial Services; Mumbai; In loco; INR 1.200.000 - 2.200.000; Tempo pieno

Descrizione del lavoro

Shriram Financial Services is seeking a seasoned Compliance Officer in Mumbai to lead regulatory compliance, governance, and reporting for stock broking operations. You will monitor developments, coordinate SEBI filings, and oversee surveillance to detect violations while advising business units on policy and onboarding norms.

The role emphasizes audits, training, and stakeholder liaison with regulators and exchanges. Strong knowledge of KYC/AML and regulatory frameworks is essential for success.

Competenze

• Must ensure SEBI compliance for stock broking operations
• Coordinate regulatory filings and responses
• Oversee trade surveillance and investigative follow-ups
• Develop and reinforce compliance policies and SOPs
• Provide advisory support to business, sales, operations, and tech teams
• Ensure KYC, AML, and client onboarding norms are followed
• Coordinate audits and regulatory inspections
• Deliver periodic compliance trainings and awareness programs

Mansioni

• Ensure compliance with SEBI regulations and stock exchange by-laws.
• Act as the designated Compliance Officer.
• Monitor regulatory developments and assess impact on business.
• Oversee filings to SEBI, exchanges, and depositories.
• Coordinate responses to regulatory queries and inspections.
• Implement trade surveillance to detect market abuse and insider trading.
• Review alerts, investigate exceptions, escalate as needed.
• Develop and implement compliance policies and internal controls.
• Provide compliance advisory support to various teams.
• Ensure proper KYC/AML onboarding norms.
• Coordinate internal and system audits and inspections.
• Track audit observations and report status to senior management.
• Conduct periodic training and awareness programs.

Conoscenze

Regulatory compliance

SEBI regulations

Governance

Regulatory reporting

Trade surveillance

KYC & AML

Audit coordination

Training & onboarding

Descrizione del lavoro

Hi,

Job Responsibilities

Regulatory Compliance & Governance

• Ensure compliance with SEBI regulations, stock exchange by-laws, circulars, and guidelines applicable to stock broking operations.
• Act as the designated Compliance Officer as per SEBI and exchange requirements.
• Monitor regulatory developments and assess their impact on business operations.

Regulatory Reporting & Filings

• Oversee timely and accurate submission of regulatory filings, disclosures, and periodic reports to SEBI, stock exchanges, and depositories.
• Coordinate responses to regulatory queries, notices, and inspections.

Surveillance & Monitoring

• Implement and oversee trade surveillance mechanisms to detect market abuse, insider trading, front running, and other irregular activities.
• Review alerts, investigate exceptions, and escalate issues as required.

Policies, Procedures & Advisory

• Develop, update, and implement compliance policies, SOPs, and internal control frameworks.
• Provide compliance advisory support to business, sales, dealing, operations, and technology teams.
• Ensure proper implementation of KYC, AML, and client onboarding norms

Audit & Inspections

• Coordinate internal audits, system audits, and regulatory inspections.
• Track audit observations, ensure timely closure, and report status to senior management and the Board.

Training & Awareness

• Conduct periodic compliance training and awareness programs for employees, dealers, and authorized persons.
• Promote a strong compliance culture across the organization.

Stakeholder Management

• Liaise with regulators, exchanges, depositories, auditors, and internal stakeholders.
• Prepare compliance MIS, dashboards, and reports for senior management and the Board.