Compliance Associate

Job Description

Key Responsibilities: Policy and Procedure Development: Develop, implement, and maintain compliance policies and procedures in alignment with SEBI regulations and guidelines. Compliance Reviews, Audits, and Regulatory Monitoring: Conduct regular compliance reviews and audits to evaluate adherence to regulatory requirements, identify areas for enhancement, and monitor changes in SEBI regulations and industry best practices. Proactively address emerging compliance issues. Training and Guidance: Provide compliance training and guidance to employees to enhance awareness and understanding of regulatory requirements. Compliance Investigations and Collaboration: Investigate and respond to compliance inquiries, complaints, and regulatory inquiries promptly and effectively. Collaborate with internal departments, including legal, risk management, and operations, to address compliance-related matters. Implement corrective actions as necessary. Regulatory Reporting and Examinations: Prepare and submit regulatory reports and filings to SEBI authorities accurately and in a timely manner. Serve as the primary point of contact for SEBI regulators and coordinate regulatory examinations and inspections as required. Industry Awareness and Compliance Framework: Stay informed about industry trends, regulatory developments, and emerging risks. Provide strategic advice and recommendations to senior management. Ensure implementation of regulatory and corporate compliances with respect to SEBI and other regulatory authorities.