Manager Exchange Compliance

Key Responsibilities :

 Ensure timely submissions of periodic compliance reporting to SEBI, Exchanges, and Depositories.  Tracking of regulatory changes/ circulars from regulatory authorities on regular basis, conducting impact analyses and implementing the same.  Maintain the updated Compliance Calendar to track all applicable compliance reporting, review and updating the policies.  Handle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories.  Manage Internal Audits, System/ Cybersecurity Audits etc.  Handling off site alerts/enquiries from exchanges, draft formal replies and provide comprehensive documentation to rectify and closure of any inspection observations or systemic gaps.  Oversee compliances relating to KYC (online KYC), PMLA, surveillance frameworks and new products development.

Qualifications Graduate or Postgraduate in Commerce, Finance, Law or MBA.  Minimum 5 years of core experience handling Stock Broking, Depository compliances.  NISM Certifications such as: NISM Series VII (Securities Operations and Risk Management), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund) Certification Examination) are preferred.  Exhaustive understanding of the SEBI Regulations, Stock exchange guidelines/ circulars, Depository Guidelines.  Proficiency with Exchange Member Portals, Depository Portals, MS Excel capability.