Job DescriptionJob Summary:
n10-15 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.
nKey Requirements:
n
- n
- Handling onsite and offsite inspections of SEBI & Exchangesn
- Handling broking and non-broking auditsn
- Perform regular compliance audits to ensure adherence to laws, regulations, and company policies.n
- Identify and evaluate potential compliance risks and recommend mitigation strategies.n
- Review and update compliance policies and procedures to reflect current regulations and best practices.n
- Review and update compliance policies and procedures to reflect current regulations and bestn
npractices.
n
- n
- Conduct investigations into compliance breaches or potential violations and recommend appropriate actions.n
- Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.n
nQualification:
nCA / CS / CA Inter / Master's Degree or Equivalent Qualification
nCertifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage
nSkills & Experience:
n
- n
- Strong analytical skills and ability to assess the changes in regulations.n
- Positive communication skills. Proficiency in compliance management software and tools.n
- High level of accuracy and attention to detail in reviewing documentation and assessing compliance.n
- Demonstrated integrity and ability to handle sensitive information with confidentiality.n
- Strong in decision making, problem solving and provide guidance to internal teamsn