Job Title

Job Role and ResponsibilitiesHandle onsite and offsite inspections conducted by SEBI and Stock Exchanges, including preparation, coordination, and closure of observations.Manage compliance and regulatory audits for broking and non broking entities and ensure timely resolution of audit findings.Conduct periodic compliance audits to ensure adherence to applicable laws, regulations, circulars, and internal policies.Identify, assess, and evaluate potential compliance risks and recommend appropriate mitigation strategies.Review, update, and implement compliance policies, procedures, and manuals in line with regulatory changes and best practices.Maintain comprehensive documentation and records related to compliance activities, audit findings, investigations, and corrective actions.Develop and deliver compliance training programs to employees to enhance regulatory awareness and adherence.Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management.Conduct investigations into potential compliance breaches, assess violations, and recommend corrective and preventive actions.Collaborate closely with internal stakeholders across departments to support compliance initiatives and ensure organizational alignment.Support regulatory reporting requirements and respond to regulatory queries in a timely and accurate manner.QualificationCA / CS / CA Inter / Master’s degree or equivalent professional qualification.Certifications in Capital Markets or prior experience in regulatory inspections and audits will be an added advantageExperience and Skills2 – 8 years of relevant experience in stock broking compliance or regulatory compliance roles.In depth understanding of SEBI regulations, Stock Exchange guidelines, and capital market compliance frameworks.Strong analytical skills with the ability to interpret regulatory changes and assess their impact on business processes.Excellent written and verbal communication skills with the ability to interact with regulators and senior stakeholders.High attention to detail and accuracy in reviewing documentation and assessing compliance.Demonstrated integrity, discretion, and ability to handle sensitive and confidential information.Strong decision making and problem solving capabilities with the ability to guide internal teams.Proficiency in compliance management tools and MS Office applications, especially Excel and reporting dashboard