Key Responsibilities Ensure timely submissions of periodic compliance reporting to SEBI, Exchanges, andDepositories. Tracking of regulatory changes/ circulars from regulatory authorities on regular basis,conducting impact analyses and implementing the same. Maintain the updated Compliance Calendar to track all applicable compliance reporting,review and updating the policies. Handle regulatory inspections initiated by SEBI, Stock Exchanges, or Depositories. Manage Internal Audits, System/ Cybersecurity Audits etc. Handling off site alerts/enquiries from exchanges, draft formal replies and providecomprehensive documentation to rectify and closure of any inspection observations orsystemic gaps. Oversee compliances relating to KYC (online KYC), PMLA,
surveillance frameworks andnew products development.QualificationsGraduate or Postgraduate in Commerce, Finance, Law or MBA. Minimum 5 years of core experience handling Stock Broking, Depository compliances. NISM Certifications such as: NISM Series VII (Securities Operations and RiskManagement), NISM Series IIIA (Securities Intermediaries Compliance (Non-Fund)Certification Examination) are preferred. Exhaustive understanding of the SEBI Regulations, Stock exchange guidelines/circulars, Depository Guidelines. Proficiency with Exchange Member Portals, Depository Portals, MS Excel capability.