10-15 years of experience including experience in handling onsite and offsite inspections and an exposure in handling compliance audits (broking/ non broking) to ensure adherence to laws, regulations and organization policies. The candidate should have knowledge and experience in in-depth understanding of relevant regulations, industry standards, and compliance frameworks.
Key Requirements:
- Handling onsite and offsite inspections of SEBI & Exchanges
- Handling broking and non-broking audits
- Perform regular compliance audits to ensure adherence to laws, regulations, and company policies.
- Identify and evaluate potential compliance risks and recommend mitigation strategies.
- Review and update compliance policies and procedures to reflect current regulations and best practices.
- Review and update compliance policies and procedures to reflect current regulations and best
practices.
- Conduct investigations into compliance breaches or potential violations and recommend appropriate actions.
- Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.
Qualification:
CA / CS / CA Inter / Master's Degree or Equivalent Qualification
Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage
Skills & Experience:
- Robust analytical skills and ability to assess the changes in regulations.
- Good communication skills. Proficiency in compliance management software and tools.
- High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
- Demonstrated integrity and ability to handle sensitive information with confidentiality.
- Strong in decision making, problem solving and provide guidance to internal teams