Compliance Manager

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

Job summary

Bajaj Financial Securities Limited in Pune is seeking a strategic Manager – Compliance to lead and shape our regulatory framework across stockbroking and financial services. The role requires deep exposure to SEBI, RBI and exchange regulations, and a track record in driving automation and governance.

You will oversee policy implementation, regulatory inquiries, audits, and training to foster ethical conduct and zero-error reporting.

Qualifications

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

Responsibilities

• Monitor and implement regulations set by SEBI, RBI, Stock Exchanges (NSE/BSE), and Depositories (NSDL/CDSL).
• Formulate, review, and enforce robust compliance policies across all business units and branch networks.
• Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections.
• Oversee compliance monitoring for branches and Authorised Persons (APs); drive corrective actions.
• Prepare and automate periodic compliance filings for senior leadership and regulatory bodies to ensure accuracy.
• Evaluate business proposals, marketing campaigns, and new product initiatives to secure regulatory approvals.
• Design and deliver organization-wide compliance training programs.

Skills

Regulatory governance

Compliance automation

Regulatory changes tracking

Policy formulation

Audits & regulator interface

Education

LL.B

Finance

Business

NISM Certification

CAMS Certification

Postgraduate degree

Job description

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.