Compliance Manager

Role Overview: As a Compliance Manager at 5paisa Capital Ltd., you will play a crucial role in overseeing regulatory reporting, membership compliance, and governance across Exchanges, Depositories, and SEBI. Your expertise in detailed submissions and regulatory coordination will be key in upholding strong compliance standards and ensuring smooth regulatory operations. Key Responsibilities: - Manage periodic and incidental submissions to Exchanges and Depositories, including regulatory, cyber, audit, risk, and compliance reports. - Ensure timely reporting and resolution of technical glitches. Oversee monthly, quarterly, half-yearly, and annual QSB submissions. - Handle SEBI, Exchange, and Depository correspondences related to membership compliance. - Manage changes and renewals such as Compliance Officer, Directors, Shareholding, KMP, office address, etc. - Coordinate issuance of certificates, renewals of licenses/insurance, and submission of product approval documents. - Prepare undertakings for opening/closing bank accounts. - Issue internal circulars and maintain MIS for tracking and implementation. - Maintain documentation and audit trails for all regulatory and internal compliance actions. - Review all marketing advertisements for regulatory compliance. Liaise with Exchanges to obtain necessary approvals and resolve observations or queries raised by regulators promptly. - Maintain audit records, track observations, and drive closure of compliance gaps. - Coordinate Cyber Audits, System Audits, VAPT assessments, and ensure compliance with all mandated risk frameworks. Qualifications Required: - Bachelors/ Masters degree in Law, Finance, Commerce, or related field. - 4-5 years of experience in regulatory compliance within financial services or broking. - Strong understanding of SEBI, Exchanges (NSE/BSE), and Depositories (CDSL/NSDL). - Experience in regulatory reporting, membership compliance, and audit coordination. - Excellent communication skills and strong attention to detail. - Ability to work effectively with cross-functional teams. (Additional Details about the company omitted as it was not present in the provided job description),