Mumbai

Posted a month ago

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Job Description

Your Role

Develop, implement and monitor internal compliance frameworks, policies and controls to ensure regulatory adherence

Ensure adherence to regulatory reporting, surveillance and timely submission of statutory returns with accuracy and completeness

Lead day-to-day compliance operations for the broking and investment business, ensuring alignment with SEBI, NSE, BSE and other regulatory guidelines

Maintain and track a comprehensive compliance calendar covering SEBI, exchange and internal requirements

Support periodic employee training and awareness programs on compliance obligations

Partner with business, product and legal teams to assess regulatory risks and ensure compliant execution of new initiatives

Serve as a key liaison during regulatory audits, inspections and inquiries, ensuring clear communication and timely responses

Qualifiers

4+ years of experience in compliance within banking or financial services

Experience working with or supporting online broking platforms

Strong understanding of SEBI, NSE, and BSE regulatory guidelines

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Salary Information

Salary: $125,000 - $150,000

🤖 This salary estimate is calculated by AI based on the job title, location, company, and market data. Use this as a guide for salary expectations or negotiations. The actual salary may vary based on your experience, qualifications, and company policies.