Job Description About 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 prospect to lead.
N n Key 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 & AuthorisedPerson 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 new 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

n n What We AreLooking 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 hi

📌 Compliance Manager (Surat)
🏢 Bajaj Broking
📍 Surat