About the role
- Location: Kerala
- Experience: 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Qualification: Bachelor's or Master's Degree
- Department: Compliance & Ethics
Job Overview
We are hiring a Senior Manager – Compliance & Ethics for a leading financial services company. The candidate will be responsible for ensuring regulatory compliance, monitoring exchange circulars, managing compliance reporting, and coordinating regulatory audits and inspections.
Key Responsibilities
- Ensure compliance with SEBI, NSE, BSE, MCX, NCDEX, and other applicable regulations.
- Review and implement regulatory circulars and updates.
- Prepare weekly reports and presentations on regulatory changes.
- Ensure timely submission of regulatory reports and filings.
- Handle exchange notices, inquiries, and responses.
- Coordinate internal and external audits and regulatory inspections.
- Update and maintain compliance policies and procedures.
- Review transaction surveillance alerts from commodity exchanges.
- Identify compliance risks and recommend corrective actions.
- Coordinate with internal departments on compliance-related matters.
- Supervise team members and ensure timely completion of tasks.
Requirements
- Bachelor's or Master's degree from a recognized institution.
- 8–10 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Good knowledge of SEBI regulations and stock or commodity exchange compliance.
- Strong analytical, communication, and report-writing skills.
- Good organizational and team management skills.
- Relevant regulatory certifications as applicable.