Compliance Manager

Bajaj Broking; Maharashtra; On-site; INR 1,000,000 - 1,500,000; Full time

Job summary

Bajaj Broking in Pune District, Maharashtra, India, seeks a strategic Manager – Compliance to lead regulatory governance and shape our compliance framework across stockbroking and financial services. You will ensure integrity, ethical conduct, and legal compliance, with exposure to SEBI, RBI and exchange regulations.

Key duties include monitoring regulations, formulating policies, coordinating audits, overseeing APs, driving automated reporting, risk assessment and training to foster a culture

Qualifications

• Bachelor’s degree in law or related field required.
• Experience with compliance programs and regulatory governance.
• Certifications like NISM or CAMS are advantageous.

Responsibilities

• Monitor and implement SEBI, RBI, NSE/BSE and NSDL/CDSL regulations.
• Formulate, review and enforce robust compliance policies.
• Lead responses for statutory/internal audits and inspections.
• Oversee compliance for branches and authorised persons.
• Automate periodic compliance filings for leadership and regulators.
• Assess regulatory risk for business proposals and new products.
• Design and deliver enterprise-wide compliance training.

Skills

Regulatory governance

Compliance automation

Regulator interface

Risk assessment

Education

LL.B or law degree

Finance / Business degree

NISM/CAMS certification

Job description

About This Job

Bajaj Broking

Location: Pune District, Maharashtra, India

Work Mode: On-site

Industry: Financial Services

Job Description

About the Role:

We are looking for a strategic, high-caliber Manager – Compliance to lead and shape our regulatory compliance framework. You will play a pivotal role in ensuring the highest standards of integrity, ethical conduct, and legal compliance across our stockbroking and financial services operations.

If you bring a sharp eye for regulatory governance, a track record of driving compliance automation, and strong exposure to SEBI, RBI, and Exchange regulations, this is your opportunity to lead.

Key Responsibilities

• Regulatory Governance & Compliance: Monitor and implement regulations set by SEBI, RBI, Stock Exchanges (NSE/BSE), and Depositories (NSDL/CDSL). Track regulatory changes and align internal policies accordingly.
• Policy Framework & Implementation: Formulate, review, and enforce robust compliance policies across all business units and branch networks.
• Inspections, Audits & Regulator Interface: Serve as the primary point of contact for regulatory inquiries. Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections.
• Branch & Authorised Person Oversight: Oversee compliance monitoring for branches and Authorised Persons (APs), lead internal investigations into potential violations, and drive corrective actions.
• Reporting & Automation: Prepare and automate periodic compliance filings for senior leadership, Exchanges, and regulatory bodies to ensure zero-error reporting.
• Risk Assessment & Advisory: Evaluate business proposals, marketing campaigns, and new product initiatives to secure necessary regulatory/Exchange approvals.
• Culture & Training: Design and deliver organization-wide compliance training programs to foster a strong culture of ethical conduct and awareness.

What We Are Looking For

• Education: Bachelor’s degree in Law (LL.B), Finance, Business, or a related field. Relevant certifications (e.g., NISM, CAMS) or a Postgraduate degree are highly desirable.
• Experience: Minimum 5+ years of progressive compliance experience within stockbroking, capital markets, or financial services.

At Bajaj Financial Securities Limited, we are committed to building a diverse, fair, and inclusive workplace.

All qualified applicants will receive equal consideration for employment regardless of background, gender, age, or identity.