About Our Client

A Capital Market firm based in Mumbai

Job Description
- Support the CRO in overseeing the regulatory and compliance functions.
- Ensure compliance with SEBI regulations, SECC regulations, Exchange byelaws, rules, circulars, and applicable laws.
- Supervise regulatory functions including:
- Market Surveillance
- Compliance
- Investigations
- Member Inspection
- Investor Services
- Arbitration and Investor Protection
- Coordinate with SEBI, stock exchanges, depositories, and other regulatory authorities on compliance and regulatory matters.
- Lead and support SEBI inspections, regulatory audits, and compliance reviews.
- Review surveillance alerts, inspection findings, and investigation reports, ensuring timely action and closure.
- Assist in developing and implementing regulatory policies, SOPs, governance frameworks, and internal controls.
- Collaborate with Technology, Operations, Legal, and other functions to ensure regulatory compliance across the organization.




- Monitor regulatory developments and assess their impact on Exchange operations.
- Support disciplinary proceedings, member compliance issues, and investor grievance resolution.
- Prepare regulatory MIS, compliance reports, and presentations for senior management and

The Successful Applicant

We're looking for someone who has:
- Strong understanding of regulatory compliance in Capital markets
- Experience in compliance within the brokerage industry.
- Knowledge of regulatory frameworks and reporting standards.
- Ability to lead and manage a compliance team effectively.
- Excellent communication and problem-solving skills.

What's on Offer
- Key leadership role in a brokerage firm in Mumbai.
- Chance to shape compliance practices.
- Competitive compensation package.

If you're interested in this role, we'd like to hear from you.

📌 VP - Regulatory Compliance (Mumbai)
🏢 Michael Page
📍 Mumbai