Role & responsibilities
Look into and resolve investor grievances and complaints
Address legal and arbitration cases
Manage operational and regulatory compliance
Handle queries and investigations of stock exchanges and initiate action as required
Responsible for various periodical submissions to BSE and NSE
Attend audit and inspections carried out by various authorities; manage prior and post inspection work
Ensure proper management of various activities to avoid non-compliance
Retail broking and DP compliances including regulatory requirements, dissemination of information and monitoring implementation status
Advise relevant teams on compliance issues around products offered by the company
Handle and assist all regulatory inspections, investigations, SEBI internal audits, concurrent audits, branch audits and communication with officials / regulators
Supervise and audit business areas; take corrective actions in case of non-compliance
Disseminate changes in regulatory provisions,



ensure implementation, and maintain compliance monitoring systems

Qualifications
Bachelor's degree in Finance, Law, Business Administration, or a related field; Master's degree or skilled certifications (CA, CS) preferred
Robust knowledge of SEBI regulations, exchange guidelines, and stock broking compliance requirements
Excellent analytical, problem-solving, and decision-making skills
Exceptional communication, negotiation, and interpersonal skills

Key Competencies
Strategic Thinking - Ability to develop and execute strategic compliance initiatives aligned with business goals.
Leadership & Influence - Robust leadership skills to inspire the compliance team and influence key stakeholders.
Adaptability & Resilience - Ability to adapt to changing regulatory environments and navigate complex compliance challenges.

📌 Compliance Manager Maharashtra
🏢 Samco
📍 Maharashtra