10-15 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.
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Key Requirements:
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- Handling onsite and offsite inspections of SEBI & Exchanges
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- Handling broking and non-broking audits
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- Perform regular compliance audits to ensure adherence to laws, regulations, and company policies.
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- Identify and evaluate potential compliance risks and recommend mitigation strategies.
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- Review and update compliance policies and procedures to reflect current regulations and best practices.
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- Review and update compliance policies and procedures to reflect current regulations and best
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practices.
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- Conduct investigations into compliance breaches or potential violations and recommend appropriate actions.
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- Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.
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Qualification:
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CA / CS / CA Inter / Master's Degree or Equivalent Qualification
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Certifications in Capital Market/ relevant work experience in onsite & offsite inspections and audits will be added advantage
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Skills & Experience:
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- Strong analytical skills and ability to assess the changes in regulations.
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- Good communication skills. Proficiency in compliance management software and tools.
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- High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
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- Demonstrated integrity and ability to handle sensitive information with confidentiality.
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- Robust in decision making, problem solving and provide guidance to internal teams
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