Overview
Job Title : Compliance Specialist.
Department : Compliance.
Role Summary : We are seeking a meticulous and detail-oriented Compliance Specialist to ensure adherence to regulatory requirements, The ideal candidate will have a strong analytical mindset, a process-driven approach, and excellent communication and presentation skills.
Key Responsibilities :
– Regulatory Compliance: Implementation of circulars and guidelines issued by SEBI, Exchanges, and Depository Participants (DPs).
– Ensuring compliance with SEBI PIT Regulations and other Exchange/SEBI regulations.
– Regulatory Submissions and Communication: Managing regulatory submissions and addressing queries received from regulators.
– Ensuring submissions are accurate, adequate, and within prescribed timelines.
– Representing the organization to regulators on various issues.
– Internal Compliance Support: Responding to compliance queries from operations and business teams.
– Conducting compliance reviews of various products and processes.
– Ensuring compliance requirements are met in digital client onboarding processes.
– Monitoring and Reporting: Reviewing and enhancing MIS reporting on compliance-related aspects.
– Analytical and Process Improvement: Maintaining an analytical mindset to identify and mitigate compliance risks.
– Adopting a process-driven approach for seamless compliance management.
– Training and Collaboration: Promoting awareness of compliance requirements across teams.
– Supporting stakeholders with insights and best practices to uphold compliance standards.