Compliance Manager

InCred Money Broking; Delhi; On-site; INR 1,200,000 - 2,100,000; Full time

Job summary

InCred Money Broking is seeking a qualified Compliance professional in Delhi with 4–5 years of experience to manage regulatory requirements across stock and commodity broking and depository operations. The role emphasizes drafting and implementing policies, KYC processes, and interaction with exchanges and SEBI.

Responsibilities include ensuring adherence to PMLA guidelines, conducting compliance health checks, coordinating audits, and driving automation opportunities.

Qualifications

• CS/CA/MBA with 4-5 years of experience in compliance.
• Experience in stock broking, commodity broking and depository regulations.
• Draft and implement regulatory and governance policies.
• Prepare and maintain KYC and other compliance documents per guidelines.
• Coordinate with exchanges, depositories and SEBI; respond to queries.

Responsibilities

• Ensure compliance across Stock Broking, Commodity Broking and Depository operations.
• Implement PMLA regulations and surveillance.
• Liaise with exchanges, depositories and SEBI; prepare responses.
• Coordinate internal audits and inspections; provide data.
• Prepare periodical returns and identify automation opportunities.
• Maintain compliance health checks and regulatory updates.

Skills

Compliance

Regulatory affairs

KYC

Policy drafting

Liaison with regulators

Education

CS

CA

MBA

Tools

NISM Certification tracking

Job description

Qualification: CS/CA/MBA having experience 4-5 years

• 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