Compliance Manager

Incred; Dadri, Delhi; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Incred is seeking a Manager/Senior Manager in Compliance based in Delhi. The role emphasizes regulatory adherence across stock and commodity broking, depository operations, and SEBI/NISM interactions.

You will oversee policy drafting, KYC processes, and cross-department guidance to ensure robust governance. The incumbent will coordinate with internal audit teams, drive compliance health checks, respond to regulator inquiries, and monitor circulars and updates for timely dissemination to

Qualifications

• Experience 5-8 years in compliance
• CS/CA/MBA qualifications
• Knowledge of NSE/BSE/MCX/NCDEX/NSDL

Responsibilities

• Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)
• Prevention of Insider Trading compliance
• Implementation of Circulars: Checking for new circulars. Preparing Gist of the same and circulating the same to the concerned departments.
• Drafting and implementation of Policies regulatory and governance perspective
• Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines
• Providing assistance to other department on Compliance related area and resolving queries raised by them.
• Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them
• Compliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelines
• PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis
• Inspection of Branches
• NISM Certification tracking
• Communication with Exchanges, Depositories and SEBI
• Investor grievances mechanism ensuring from Compliance
• Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them
• Submission of Periodical returns.
• Identify improvement areas and opportunities for automation
• Periodical submission
• Tracking and updating seniors about the Compliances aspects

Skills

Regulatory compliance

Internal audit liaison

Education

CS/CA/MBA

Job description

Department : Compliance

Location : Delhi

Grade : Manager / Senior Manager

Qualification: CS/CA/MBA having experience 5-8 years

Job Description/ Responsibility:

• Compliances of Stock Broking, Commodity Broking and Depository (NSE, BSE, MCX, NCDEX, NSDL)
• Prevention of Insider Trading compliance
• Implementation of Circulars: Checking for new circulars. Preparing Gist of the same and circulating the same to the concerned departments.
• Drafting and implementation of Policies regulatory and governance perspective
• Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines
• Providing assistance to other department on Compliance related area and resolving queries raised by them.
• Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them
• Compliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelines
• PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis
• Inspection of Branches
• NISM Certification tracking
• Communication with Exchanges, Depositories and SEBI
• Investor grievances mechanism ensuring from Compliance
• Liaison the Exchanges/Depositories/Regulatory Officials and preparing the details/replies for queries raised by them
• Submission of Periodical returns.
• Identify improvement areas and opportunities for automation
• Periodical submission
• Tracking and updating seniors about the Compliances aspects