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:
Robust 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