Regulatory Compliance Manager

Job description

**Job Summary:** 10-15 years of experience including experience in handling onsite and offsite inspections and an exposure in handling compliance audits (broking/ non broking) to ensure adherence to laws, regulations and organization policies. The candidate should have knowledge and experience in in-depth understanding of relevant regulations, industry standards, and compliance frameworks. **Key Requirements:** - Handling onsite and offsite inspections of SEBI & Exchanges - Handling broking and non-broking audits - Perform regular compliance audits to ensure adherence to laws, regulations, and company policies. - Identify and evaluate potential compliance risks and recommend mitigation strategies. - Review and update compliance policies and procedures to reflect current regulations and best practices. - Review and update compliance policies and procedures to reflect current regulations and best practices. - Conduct investigations into compliance breaches or potential violations and recommend appropriate actions. - Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals. **Qualification:** CA / CS / CA Inter / Master’s Degree or Equivalent Qualification Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage **Skills & Experience:** - Strong analytical skills and ability to assess the changes in regulations. - Good communication skills. Proficiency in compliance management software and tools. - High level of accuracy and attention to detail in reviewing documentation and assessing compliance. - Demonstrated integrity and ability to handle sensitive information with confidentiality. - Strong in decision making, problem solving and provide guidance to internal teams