Compliance Manager

Reliance Capital; Mumbai Suburban, Goregaon; On-site; INR 600,000 - 900,000; Full time

Job summary

Reliance Capital in Mumbai Suburban is seeking a regulatory reporting professional to manage filings with SEBI, stock exchanges, and depositories. The role involves coordinating audits, preparing inspection responses, and handling regulatory communications.

NISM certifications are mandatory, with a strong understanding of SEBI regulations and AML guidelines expected. The position emphasizes data gathering across functions, tight remediation tracking, and acting as the go-to contact for routine

Responsibilities

• Manage periodic filings (Daily, Weekly, Monthly, Quarterly, Half-Yearly, Annual) with SEBI, NSE, BSE, MCX, and Depositories (CDSL/NSDL).
• Ensure submissions of Net-Worth certificates, Internal Audit, Cyber Audit, System Audit, RBS and surveillance alerts and ATR of respective audit.
• PIT (Prohibition of Insider Trading) Regulations
• Coordinate end-to-end SEBI and Stock Exchange-mandated periodic/special inspections.
• Facilitate internal audits, depository-mandated concurrent/internal audits, and gather data from cross-functional operational teams.
• Draft factual responses/closure reports to inspection observations and track remediation timelines
• Act as a point of contact for routine regulatory correspondence and query resolution
• Mandatory NISM Certifications
• In-depth understanding of SEBI (Stockbrokers) Regulations, PMLA/AML guidelines, and Exchange by-laws.

Job description

Key Responsibilities

Regulatory Reporting & Submissions

• Manage periodic filings (Daily, Weekly, Monthly, Quarterly, Half-Yearly, Annual) with SEBI, NSE, BSE, MCX, and Depositories (CDSL/NSDL).
• Ensure submissions of Net-Worth certificates, Internal Audit, Cyber Audit, System Audit, RBS and surveillance alerts and ATR of respective audit.
• PIT (Prohibition of Insider Trading) Regulations
• Coordinate end-to-end SEBI and Stock Exchange-mandated periodic/special inspections.
• Facilitate internal audits, depository-mandated concurrent/internal audits, and gather data from cross-functional operational teams.
• Draft factual responses/closure reports to inspection observations and track remediation timelines
• Act as a point of contact for routine regulatory correspondence and query resolution
• Mandatory NISM Certifications
• In-depth understanding of SEBI (Stockbrokers) Regulations, PMLA/AML guidelines, and Exchange by-laws.