Senior Manager Capital Market Compliance

Advenxa Recruitment; Ernakulam; Presencial; INR 3 000 000 - 4 600 000; Tempo integral

Resumo da oferta

Advenxa Recruitment in Kerala, India seeks a Senior Manager – Compliance & Ethics to oversee regulatory compliance, monitor circulars, and coordinate audits for a leading financial services firm.

The role requires 8–10 years in compliance, risk management, or regulatory affairs, with strong SEBI/stock and commodity exchange knowledge, and proven leadership to guide a team.

Qualificações

• Experience in compliance, risk management, or regulatory affairs in financial services.
• Strong knowledge of SEBI regulations and stock/commodity exchange compliance.
• Excellent analytical, communication and report-writing skills.

Responsabilidades

• Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX, and other applicable regulations.
• Review and implement regulatory circulars and updates.
• Prepare weekly reports and presentations on regulatory changes.
• Ensure timely submission of regulatory reports and filings.
• Handle exchange notices, inquiries, and responses.
• Coordinate internal and external audits and regulatory inspections.
• Update and maintain compliance policies and procedures.
• Review transaction surveillance alerts from commodity exchanges.
• Identify compliance risks and recommend corrective actions.
• Coordinate with internal departments on compliance-related matters.
• Supervise team members and ensure timely completion of tasks.

Conhecimentos

Regulatory knowledge

Analytical skills

Communication

Team leadership

Report writing

Formação académica

Bachelor's or Master's degree

Descrição da oferta de emprego

Job Description:

Job Description – Senior Manager, Compliance & Ethics

• Location: Kerala
• Experience:8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Qualification: Bachelors or Masters Degree
• Department: Compliance & Ethics

Job Overview

We are hiring a Senior Manager – Compliance & Ethics for a leading financial services company. The candidate will be responsible for ensuring regulatory compliance, monitoring exchange circulars, managing compliance reporting, and coordinating regulatory audits and inspections.

Key Responsibilities

• Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX, and other applicable regulations.
• Review and implement regulatory circulars and updates.
• Prepare weekly reports and presentations on regulatory changes.
• Ensure timely submission of regulatory reports and filings.
• Handle exchange notices, inquiries, and responses.
• Coordinate internal and external audits and regulatory inspections.
• Update and maintain compliance policies and procedures.
• Review transaction surveillance alerts from commodity exchanges.
• Identify compliance risks and recommend corrective actions.
• Coordinate with internal departments on compliance-related matters.
• Supervise team members and ensure timely completion of tasks.

Requirements

• Bachelors or Masters degree from a recognized institution.
• 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Good knowledge of SEBI regulations and stock or commodity exchange compliance.
• Strong analytical, communication, and report-writing skills.
• Good organizational and team management skills.
• Relevant regulatory certifications as applicable.

Requirements: