:

Key Responsibilities:

● Periodic Regulatory Reporting & Tracking:

○ Manage and ensure timely and accurate periodic reporting as a SEBI registered Stock Broker and Depository Participant to regulating authorities including SEBI, CDSL, NSDL, NSE, BSE,

and ICCL.

○ Oversee periodic reporting as a PFRDA registered Point of Presence for NPS to the PFRDA.

○ Proactively track and analyze amendments to regulations, circulars, and guidelines issued by all relevant regulatory authorities (SEBI, CDSL, NSDL, NSE, BSE, ICCL, PFRDA).

● Cross-functional Coordination for Reporting:

○ Coordinate extensively with the Finance, Operations, and IT departments to obtain all necessary information and details for the preparation of certificates and reports required by various regulators, Self-Regulatory Organizations (SROs), and Market Infrastructure Institutions (MIIs).

● Audits & Compliance Monitoring:

○ Coordinate and liaise with Internal Auditors and External Auditors during compliance reviews and audits, providing all necessary documentation and explanations.

○ Ensure all provisions of PMLA (Prevention of Money Laundering Act) and Surveillance related laws are duly complied with across all business operations.

● Incidental Compliance & Updation:

○ Ensure timely intimation to regulators regarding all incidental compliance matters, including but not limited to, updation of DP service centers, branch details, changes in company name,

shareholding patterns, Principal Officer, Compliance Officer, and other key personnel of the companies registered with various regulators/SROs/MIIs.

○ Ensure updation of various forms applicable for onboarding of clients for trading and demat account opening and allied services,



maintaining compliance with KYC and other regulatory requirements.

● Compliance System Management & Documentation:

○ Ensure the accurate entry, storage, and updation of the NJ Compliance Module within the internal system.

○ Maintain secure storage and custody of all Licenses and Registration Certificates issued by the regulators.

● FATCA and CRS Reporting:

○ Manage FATCA (Foreign Account Tax Compliance Act) and CRS (Common Reporting Standard)

reporting, including coordination with external consultants as required.

● Team Leadership & Development (for Manager role):

○ Ensure effective functioning of the compliance team and provide guidance and assistance to team members to achieve optimum performance levels.

Qualifications

● Education:

○ Company Secretary

○ Master's degree in Law, Finance, Business Administration, or a related field.

○ Professional certifications such as NISM certifications (especially those related to stock broking,

depository operations), CAMS, or CCEP are highly preferred.

● Experience:

○ More than 5 years of progressive experience in a compliance or regulatory role within the Indian financial services sector, specifically with exposure to SEBI registered Stock Broking, Depository

Participant operations (CDSL/NSDL), and NPS (PFRDA).





○ Demonstrable experience in managing periodic regulatory reporting and tracking regulatory amendments.

○ (For Manager role): Proven experience in leading compliance initiatives and coordinating with multiple internal and external stakeholders

● Skills & Competencies:

○ Deep Regulatory Knowledge: In-depth understanding of regulations from SEBI, RBI, PFRDA,

CDSL, NSDL, NSE, BSE, ICCL, along with thorough knowledge of PMLA, FATCA, and CRS.

○ Analytical & Detail-Oriented: Exceptional analytical skills with meticulous attention to detail for accurate reporting and compliance.

○ Communication: Excellent written and verbal communication skills in English, with the ability to articulate complex regulatory requirements clearly and concisely. Proficiency in Gujarati and/or

Hindi is a plus.

○ Collaboration: Strong interpersonal skills with proven ability to coordinate and collaborate effectively across departments (Finance, Operations, IT) and with external auditors/consultants.

○ Proactive & Organized: Highly organized, self-motivated, and capable of managing multiple deadlines and priorities in a dynamic environment.

○ Integrity: Unquestionable integrity and a strong ethical compass.

○ Technical Proficiency: Proficient in Microsoft Office Suite; experience with compliance management software or GRC tools is highly desirable.

Desired Attributes

● A proactive learner who stays updated with evolving regulatory landscapes in the Indian financial sector.

● Solution-oriented with a practical approach to compliance challenges.

● Ability to work effectively both independently and as part of a team.

📌 Regulatory Compliance Manager - SEBI / Financial Regulations (Surat)
🏢 RECEX
📍 Surat