Assistant Manager Compliance

Key Responsibilities

• Ensure compliance with SEBI, NSE, BSE, CDSL, NSDL, and other regulatory guidelines applicable to stock broking activities.
• Monitor day-to-day compliance of trading, depository, and back-office operations.
• Prepare, review, and submit periodic reports/returns to SEBI, Exchanges, Depositories, and other regulatory authorities within timelines.
• Draft and update internal compliance policies, manuals, and procedures in line with regulatory requirements.
• Conduct regular compliance audits, inspections, and internal checks across branches and departments.
• Ensure client KYC, PMLA (Prevention of Money Laundering Act), and other statutory compliances are strictly followed.
• Liaise with regulatory authorities during inspections, audits, and queries, ensuring prompt closure of observations.
• Provide compliance training and guidance to employees, dealers, and relationship managers.
• Monitor and implement new circulars, regulations, and guidelines issued by SEBI/Exchanges/Depositories.

Key Skills & Competencies

• Strong knowledge of SEBI, NSE, BSE, and Depository regulations.
• Hands-on experience in compliance within stock broking or financial services industry.
• Good understanding of KYC, AML, and risk management frameworks.
• Excellent drafting, reporting, and documentation skills.
• Strong analytical ability and attention to detail.
• Effective communication and stakeholder management skills.