About This Job

Bajaj Broking

Location: Pune District, Maharashtra, India

Work Mode: In office

Industry: Financial Services

Job Description

About the Role:

We 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.

If 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.

Key Responsibilities

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.Policy Framework & Implementation: Formulate, review, and enforce robust compliance policies across all business units and branch networks.Inspections, Audits & Regulator Interface:



Serve as the primary point of contact for regulatory inquiries. Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections.Branch & Authorised Person Oversight: Oversee compliance monitoring for branches and Authorised Persons (APs), lead internal investigations into potential violations, and drive corrective actions.Reporting & Automation: Prepare and automate periodic compliance filings for senior leadership, Exchanges, and regulatory bodies to ensure zero-error reporting.Risk Assessment & Advisory: Evaluate business proposals, marketing campaigns, and new product initiatives to secure necessary regulatory/Exchange approvals.Culture & Training: Design and deliver organization-wide compliance training programs to foster a strong culture of ethical conduct and awareness.

What We Are Looking For

Education: Bachelor’s degree in Law (LL.B), Finance, Business, or a related field. Relevant certificatio

📌 Compliance Manager (Pune)
🏢 Bajaj Broking
📍 Pune