Job DescriptionAbout 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.
nKey Responsibilities:
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- 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 & Authorised Person 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 recent 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.n

nWhat We Are Looking For:
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- 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

📌 Compliance Manager (Pune)
🏢 Bajaj Broking
📍 Pune