Surveillance Role (Regulatory Order Processing)

We are looking for a team-oriented and detail-focused professional with 8–10 years of experience in the depository or broking industry. The candidate should have strong knowledge of capital market regulations , SEBI inspections, surveillance compliance, regulatory communication, and compliance audits. Prior experience in the legal/compliance function of a DP or broking firm, along with a sound understanding of SEBI (Depositories & Participants) Regulations and the Depositories Act, is essential.

• Interpret, analyze, and implement regulatory directions received from SEBI and other statutory authorities in a timely and accurate manner.

• Handle critical matters, including orders issued by courts, tribunals, and other legal or quasi-judicial authorities.

• Manage the freezing and unfreezing of client accounts and securities in line with regulatory , legal, and surveillance requirements.

• Ensure timely, accurate, and effective communication with internal and external stakeholders for regulatory responses, closures, and compliance-related actions.

• Prepare, validate, and submit data and information to internal teams and external stakeholders, including SEBI and other regulators.

• Maintain and manage regulatory and legal documentation such as SOPs, user manuals, legal records, presentations, and related documents.

• Collaborate closely with internal departments to address regulatory , compliance, and operational matters.

• Support surveillance -related activities and facilitate inter-departmental coordination on regulatory issues.

• Ensure ongoing compliance with applicable SEBI regulations , circulars, guidelines, and other regulatory requirements.

• Handle SEBI and other regulatory audits, including preparation of responses and follow-up actions.

• Prepare and maintain MIS, periodic reports, and dashboards for management review and regulatory submissions.

• Participate in User Acceptance Testing (UAT) for system enhancements, regulatory changes, and process improvements.

 

 Education - 

• Postgraduate/Graduate with 8–10 years of experience in the depository or broking function. Prior experience of working in the legal department of a DP/broking firm, with in-depth knowledge of SEBI (D&P) Regulations and the Depositories Act.
• Law Graduate (LLB) or  LLM.