Compliance Manager

Job Description

Role & responsibilities Ensure adherence to SEBI regulations, including broking activities, mutual fund distribution guidelines, and Alternative Investment Fund (AIF) operational requirements Stay updated on regulations issued by SEBI, AMFI, RBI, and other statutory bodies Identify, assess, and mitigate compliance risks across all business activities Monitor trading activities to prevent market abuse, insider trading, or other violations Identify, assess, and mitigate compliance risks across all business activities Monitor trading activities to prevent market abuse, insider trading, or other violations Develop training programs to enhance employee awareness of compliance requirements and ethical ractices Preferred candidate profile Mandatory : Qualified Company Secretary (CS) with 6-8 years of experience in a SEBI-regulated entity. Preferred : Chartered Accountancy (CA), LLB from a reputed institute, or Inter CA/CS with 10-15 years of relevant experience. Certifications such as NISM Series-III (Compliance Officer) or Series-VIII (Equity Derivatives) are advantageous In-depth knowledge of SEBI regulations related to broking activities and AIF operations is essential. Prior experience in handling regulatory filings, audits, or inspections in a SEBI-regulated entity is mandatory. Interested candidates kindly share your resume on anju@smart-source.in Regards, Anju Salunke Smart Source