Compliance Lead

Job Description

Key Responsibilities: 1. Regulatory Compliance & Reporting: - Ensure strict adherence to SEBI regulations, stock exchange rules, and other regulatory requirements related to stock broking. - Oversee SEBI and stock exchange reporting requirements, ensuring timely and accurate submissions. - Keep abreast of any changes in regulatory requirements and update compliance practices accordingly. 2. Policy Development & Implementation: - Develop and implement compliance policies and procedures to prevent violations and ensure the organization;s adherence to stock market regulations. - Conduct regular reviews and updates to compliance policies, adapting to changes in the regulatory landscape. 3. Audit & Inspection Management: - Manage all aspects of stock exchange inspections, including coordinating responses to inspection queries and follow-ups. - Conduct internal audits and mock inspections to identify potential compliance gaps, preparing the team for official inspections and reviews. - Collaborate with auditors and regulators, ensuring transparency and efficient audit processes. 4. Risk Management: - Perform regular compliance risk assessments to identify, analyze, and mitigate potential risks associated with stock broking activities. - Work closely with the risk management and internal audit teams to monitor compliance-related risks. 5. Training & Development: - Lead the development and delivery of compliance training programs to educate employees on regulatory requirements and promote compliance awareness. - Stay current on compliance trends and regulatory changes, and provide insights to staff to ensure continued compliance. 6. Internal Reporting & Collaboration: - Report on compliance activities, issues, and updates to senior management and board members, maintaining an open line of communication on compliance matters. - Collaborate with various departments (legal, finance, operations) to ensure integrated compliance efforts across the organization. Preferred Skills: - Professional certifications in compliance (e.g., Certified Compliance & Ethics Professional, SEBI certification) are advantageous. - Strong analytical skills and attention to detail. - Ability to work in a dynamic and fast-paced environment.