Deputy Manager - Compliance

The NSE Clearing Limited; Mumbai; On-site; INR 600,000 - 1,000,000; Full time

Job summary

A leading financial institution in Mumbai seeks a Compliance Officer to manage regulatory adherence and collaborate with internal departments. The role involves preparing timely reports and handling inspections while ensuring compliance with SEBI regulations. Candidates should have a CA, CS, or MBA with a solid understanding of financial and capital markets. The position requires excellent communication and organizational skills to coordinate compliance activities effectively.

Qualifications

• Must have a CA, CS, or MBA to ensure adherence to regulatory matters.
• Experience in monitoring compliance with SEBI regulations is essential.
• Ability to handle regulatory queries and track compliance.

Responsibilities

• Manage compliance activities and report to regulators on time.
• Interface with SEBI and internal departments for compliance.
• Prepare agendas and minutes for committee and board meetings.

Skills

Knowledge of financial and capital markets

Regulatory communication

Timely reporting

Education

CA / CS / MBA

Job description

• To ensure continuous adherence to regulatory related matters pertaining to NCL
• Interfacing with regulators especially SEBI in compliance related matters.
• Interfacing with internal departments for the purpose of collation of information for generating reports on compliance related matters, facilitating regulatory queries resolution, etc.
• Ensuring adherence to the timelines fixed in regulatory matters, facilitating the conduct of statutory committee meetings, preparing agendas and minutes of such committee meetings.
• To support handle regulatory queries within defined timelines, track delays, track non-compliance areas. Escalate the exceptions and recommend operational solutions.

Key Responsibilities

CC Compliance activities

• Timely Monthly, Yearly and Quarterly reporting to Regulator
• Monitoring of SEBI Circulars and ensuring creation of Tasks in Compliance Dashboard
• Timely closure of tasks on Compliance Dashboard
• Monitoring Rules Bye Laws changes on a monthly basis in consultation with Legal Team
• Ensuring compliance with SECC regulations and track changes and new compliance requirements
• Timely updating of SEBI Letters/Emails in database and ensue timely compliance and replies.
• Display readiness for new Assignments / Projects.

External/Internal Inspection/Audits

• Arrangements for Inspections/Audits
• Timely and accuracy in replies to Regulatory Inspections/Audits
• Maintaining database of completed and pending replies /clarification on queries
• Ensure monitoring compliance with the Observations within timelines and placing before Committee/Regulator and monitoring repeated non compliances.

Meetings

• Timely preparation of Agenda and minutes for Committee/Board meetings.
• Preparation of PPT for the meetings and upload Agenda on Dess
• Ensuring compliance with secretarial standards

Code of Ethics

• Ensure 100% and timely submission of COE (Opening Stock and Quarterly)
• Non-Compliances to be reported to HRD
• PAN data to be shared with Exchange and Surveillance Team
• Sharing of COE submission status with HOD
• Reconciliation of employee count monthly
• Accurate submission data to be placed before Committee.
• Reliving employee clearance under COE
• Checking the Trackwizz integration report on daily basis and resolving discrepancies

SEBI Circular monitoring

• Liasoning with internal teams.
• Ensuring implementation of circulars issued by SEBI.

Managing the stakeholder internal and external

Qualifications

• CA / CS/ MBA
• Knowledge of financial and capital markets.
• Knowledge of statutory requirements applicable to the financial markets