Job Description

About the Role:

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We 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.

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If you bring a sharp eye for regulatory governance, a track record of driving compliance automation, and solid exposure to SEBI, RBI, and Exchange regulations, this is your opportunity to lead.

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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.
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- Policy Framework & Implementation: Formulate, review, and enforce robust compliance policies across all business units and branch networks.
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- Inspections, Audits & Regulator Interface: Serve as the primary point of contact for regulatory inquiries.



Lead responses for Statutory/Internal Audits and Exchange/Regulatory Inspections.
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- Branch & Authorised Person Oversight: Oversee compliance monitoring for branches and Authorised Persons (APs), lead internal investigations into potential violations, and drive corrective actions.
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- Reporting & Automation: Prepare and automate periodic compliance filings for senior leadership, Exchanges, and regulatory bodies to ensure zero-error reporting.
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- Risk Assessment & Advisory: Evaluate business proposals, marketing campaigns, and new product initiatives to secure necessary regulatory/Exchange approvals.
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- Culture & Training: Design and deliver organization-wide compliance training programs to foster a strong culture of ethical conduct and awareness.
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What We Are Looking 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 de

📌 Compliance Manager (Pune)
🏢 Bajaj Broking
📍 Pune