Job Description About the Role: NWe are looking for a strategic, high-caliber Manager – Compliance to lead and shape our regulatory compliance framework. You will play a pivotal role in ensuring the highest standards of integrity, ethical conduct, and legal compliance across our stockbroking and financial services operations. NIf you bring a sharp eye for regulatory governance, a track record of driving compliance automation, and strong exposure to SEBI, RBI, and Exchange regulations, this is your opportunity to lead. N n Key Responsibilities: Nn Regulatory Governance & Compliance: Monitor and implement regulations set by SEBI, RBI, Stock Exchanges (NSE/BSE), and Depositories (NSDL/CDSL). Track regulatory changes and align internal policies accordingly. N Policy Framework & Implementation: Formulate, review, and enforce robust compliance policies across all business units and branch networks. N Inspections, Audits& Regulator Interface: Serve as the primary point of contact for regulatory inquiries. Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections. N Branch & AuthorisedPerson Oversight: Oversee compliance monitoring for branches and Authorised Persons (APs),



lead internal investigations into potential violations, and drive corrective actions. N Reporting & Automation: Prepare and automate periodic compliance filings for senior leadership, Exchanges, and regulatory bodies to ensure zero-error reporting. N Risk Assessment & Advisory: Evaluate business proposals, marketing campaigns, and current product initiatives to secure necessary regulatory/Exchange approvals. N Culture & Training: Design and deliver organization-wide compliance training programs to foster a strong culture of ethical conduct and awareness. Nn n What We AreLooking For: Nn Education: Bachelor’s degree in Law (LL.B), Finance, Business, or a related field. Relevant certifications (e.G., NISM, CAMS) or a Postgraduate degree are highly desirable. N Experience: Minimum 5+ years of progressive compliance experience within stockbroking, capital markets, or financial services. Nn nAt Bajaj Financial Securities Limited, we are committed to building a diverse, fair, and inclusive workplace. All qualified applicants will receive equal consideration for employment regardless of background, gender, age, or identity. N

📌 Compliance Manager (Dhowara)
🏢 Bajaj Broking
📍 Dhowara