Compliance Manager

A C Agarwal Share Brokers; Vadodara; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

A C Agarwal Share Brokers is seeking a Compliance Manager to oversee SEBI and Exchange compliance for a stock broking firm in India. You will handle regulatory filings, respond to exchange queries, and ensure timely adherence to SEBI, NSE, BSE, and depository guidelines.

Responsibilities include managing audits, updating policies, coordinating with exchanges and auditors, and maintaining comprehensive compliance records.

Qualifications

• In depth knowledge of SEBI regulations, AML guidelines, and PMLA provisions.

Responsibilities

• Handle SEBI, NSE, BSE, MCX, and Depository-related compliance.
• File periodic and event-based regulatory reports and returns; manage audits and inspections.
• Ensure adherence to SEBI regulations, circulars, and exchange guidelines.
• Develop and update compliance policies and SOPs.
• Coordinate with exchanges, SEBI, and auditors for compliance queries.
• Maintain compliance records, reports, and documentation.
• Liaise with internal teams to address compliance gaps.
• Drive employee awareness and training on compliance matters.

Skills

SEBI regulations

AML guidelines

PMLA provisions

Job description

We are looking for a Compliance Manager to manage SEBI and Exchange Compliance for a Stock Broking firm. The role involves handling regulatory filings, responding to exchange queries, and ensuring timely compliance with SEBI, NSE, BSE, and Depository (CDSL/NSDL) guidelines.

Responsibilities

1. Handle SEBI, NSE, BSE, MCX, and Depository-related compliance.
2. File periodic and event-based regulatory reports and returns. Manage audits and inspections.
3. Ensure adherence to SEBI regulations, circulars, and exchange guidelines.
4. Develop and update compliance policies and SOPs.
5. Coordinate with exchanges, SEBI, and auditors for compliance queries.
6. Maintain compliance records, reports, and documentation.
7. Liaise with internal teams to address compliance gaps
8. Drive employee awareness and training on compliance matters.

Requirements

1. In depth knowledge of SEBI regulations, AML guidelines, and PMLA provisions.
2. 2-5 years experience in SEBI or Exchange compliance with a Stock Broker.
3. Strong understanding of SEBI rules, Exchange regulations, and audit requirements.