Manager, Compliance - Stockbroking
Core
Ensuring adherence to regulatory guidelines and internal policies in the stock broking business by managing compliance processes, conducting risk assessments, and liaising with regulators.
Role type
Manager, Compliance
Builds
Compliance processes, risk assessments, regulatory reports, and training programs
Domain
Financial Services / Stockbroking
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge (MCX, SEBI, NSE, BSE, CDSL), risk assessment, audit management, policy development, regulatory reporting, stakeholder collaboration
Preferred skills
Strategy formulation, regulatory engagement
Responsibilities
Oversee day-to-day compliance activities, conduct periodic compliance audits and risk assessments, collaborate with internal teams on trading and surveillance obligations, handle regulatory inspections and inquiries, develop and maintain compliance policies and training programs, monitor regulatory updates and implement process changes, support senior leadership in regulatory engagements.
