Compliance Manager

Bajaj Broking; Maharashtra; On-site; INR 1,800,000 - 2,800,000; Full time

Job summary

Bajaj Broking is seeking a strategic Manager - Compliance to lead and shape our regulatory compliance framework across stockbroking and financial services. You will drive integrity, ethical conduct, and legal compliance with SEBI, RBI, and exchange standards.

The role emphasizes governance automation, policy development, incident investigations, and proactive risk assessment, while building a culture of compliance through training and clear reporting to senior leadership.

Qualifications

• LL.B or related field with relevant certifications.
• Minimum 5+ years in compliance within stockbroking or financial services.
• Experience with SEBI, RBI, and Exchange regulations is preferred.

Responsibilities

• Regulatory Governance & Compliance: Monitor and implement regulations set by SEBI, RBI, Stock Exchanges (NSE/BSE), and Depositories (NSDL/CDSL).
• 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/Regulator 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.

Skills

Regulatory governance

Compliance automation

Audit management

Policy formulation

Regulator liaison

Education

LL.B or related degree

Postgraduate degree

NISM certification

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/Regulator 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.